There are two types of 529 plans—prepaid tuition plans and savings plans. Prepaid plans offer protection against rising tuition costs. Savings plans allow earnings to grow tax-deferred, and withdrawals are tax-free when used for qualified education expenses. Nearly every state offers at least one of these types of plans.
April 2008 Supplement to the Options Disclosure Document
It is not fair to limit the number of tools private investors can use. Companies will continue to use available tools to get the same results to avoid these limitations, which puts private investors in unfair trading capabilities.
Good afternoon and thank you for the invitation to join you this afternoon.
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
NASD Regulation, Inc. (NASD
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Table of Contents
Firm Distribution by Size
Securities Industry Registered Firms by Type of Registration
Firm Distribution by Number of Branches
Firm Distribution
Firm Distribution by Number of Registered Representatives: Additional Breakdown
10-Year Change in Number of FINRA-Registered Firms
Urban-Rural Breakdown of FINRA-Registered Firms and Branches
FINRA-Registered Firms –
When used in the Capital Acquisition Broker Rules, unless the context otherwise requires:
(a) "Associated person of a capital acquisition broker" or "person associated with a capital acquisition broker"
The term "associated person of a capital acquisition broker" or "person associated with a capital acquisition broker" means: (1) a natural person
INFORMATIONAL
Trading — Extended Hours
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disclosure
Trading, Extended Hours
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds members of their obligation under just and equitable principles of trade and the advertising rule to disclose to customers the material risks of extended hours trading.
Per your request for Regulatory Notice 21-19 regarding Short Positions, please find my comment below. The current requirements for short sale reporting, thorough as they may seem, are woefully inadequate in terms of depth, clarity and public transparency. I'd like to take the time to address what I see as issues that clearly and with immediate care must be addressed when considering short