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I believe that the complexity of Leveraged ETFs is correctly matched with the current required notice and acknowledgement. Further restrictions on these products are very likely to be unfair to everyday Americans. Retail investors can and should be able to choose the level of risk and volatility that matches their investment knowledge and interest without needing to be already experienced or
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
This category mapping is provided as a tool to assist member firms in understanding Rule 4111. The terms used in this mapping are defined in Rule 4111, which controls their meaning. This mapping guidance will be updated publicly as needed.
The table below maps the disclosure events that are relevant for Rule 4111 (Restricted Firm Obligations) by category to the Uniform Registration Forms (i.e
(a) Except as provided herein, a member that accepts and holds an order in an equity security from its own customer or a customer of another broker-dealer without immediately executing the order is prohibited from trading that security on the same side of the market for its own account at a price that would satisfy the customer order, unless it immediately thereafter executes the customer order
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The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on
October 2008 Quarterly Disciplinary Review - FINRA publishes this quarterly review to provide firms with a summary sampling of recent disciplinary actions involving misconduct by registered representatives.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) has taken important actions to protect investors from fraudulent schemes, products and practices, and to bring new levels of transparency to financial markets.
July 2008 Quarterly Disciplinary Review - FINRA publishes this quarterly review to provide firms with a summary sampling of recent disciplinary actions involving misconduct by registered representatives.
Mr. Chairman and Members of the Committee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record. NASD strongly supports H.R. 2420, the Mutual Funds Integrity and Fee Transparency Act of 2003.