The applicability of Section 40 (Rule 3040) to situations in which a financial plan is delivered to a customer without an execution of a securities transaction.
The National Securities Exchanges and FINRA Issue Joint Guidance on Clock Synchronization and Certification Requirements Under the CAT NMS Plan
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Leveraged ETFs have been helpful in my retirement planning. I am aware of their risks and limitations
as a long term investor in SH, I strongly object to plans to restrict investment leveraged and invest funds.
Do not close inverse and leveraged funds . Its important to the individual to be able to plan his retirement
If you leave assets untouched and have no contact with the entity holding your accounts for too long, they might be deemed abandoned or unclaimed property. While there are avenues for recovering these assets, there are also preemptive steps you can take to help you avoid this situation.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to NASD's Plan of Allocation and Delegation of Functions by NASD to Subsidiaries ("Delegation Plan") and certain NASD rules to reflect NASD's direct authority for the activities related to or in support of trading in over-the-counter ("OTC")
In most cases, you must start taking required minimum distributions (RMDs) from your retirement accounts each year once you reach age 73. IRS rules require that you take withdrawals from individual retirement accounts (IRAs) and employer-sponsored retirement plans to avoid costly penalties. Be sure you understand the requirements about RMD.
