I support proposed rule #22-08. Over the past 30 years Wallstreet has banked on swindling middle America with complex investment vehicles. It needs to end.
This rule is ridiculous, just another attempt to keep poor people poor and the rich, rich. It's a shame that the so-called American dream has turned into a nightmare.
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Systems
Exchange Act Rule 15c3-1
Exchange Act Rule 15c3-3
Federal Reserve Board Regulation T
NASD Rule 2520
Unexpected Close
Executive Summary
This Notice provides guidelines to members regarding the applicability of Exchange
Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceRegistrationTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Article IV, Section 1 of the NASD Rules of Fair Practice. The amendment to Section 1 would exclude from the rule
AAccount StatementsActive Duty Military LeaveAdjudication & DecisionsAdvertising RegulationAdvisory CommitteesAlgorithmic TradingAlternative Display Facility (ADF)Annual AuditAnnual Regulatory and Examination Priorities LetterAnnual ReportsAnnuities and InsuranceAnti-Money LaunderingArbitration & MediationAsset-Backed Securities / Securitized ProductsAutomated Data Delivery System
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the By-Laws of FINRA Regulation, Inc. (“FINRA Regulation”), FINRA’s regulatory subsidiary, to further align the grounds for member removal from the National Adjudicatory Council (“NAC”) with an existing provision in the FINRA By-Laws
FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
• Churning or Excessive Trading
• Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications
• Customer Account Transfer Contracts—Failure to Comply With Rule Requirements
• Day-Trading Accounts—Failure to Comply With Risk
Proposed Rule Change to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
