REQUEST FOR COMMENT
Proposed Rule to Enhance
Confirmation Disclosure in Corporate
Debt Securities Transactions
Comment Period Expires April 19
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered Representatives
Senior ManagementTechnologyTraining
ConfirmationsDebt SecuritiesOperationsTransaction Reporting
Executive Summary
NASD is requesting
A completely transparent market would allow retail traders to self teach themselves much easier. Along with an official site with all data, Picture Ortex without having to pay $500/year. Also, give us up to date information.... this T+2, T+5, T+13, T+35 stuff is nonsense in today's day and age. We have the technology to do it, so why aren't we giving current information? Creating a
FINRA is reviewing transactions with retail customers of certain fixed income products known as “Gas Bonds.”
INFORMATIONAL
Continuing Education — In-Firm Delivery Of The Regulatory Element
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
NASD Membership and Registration Rule 1120
Your brokerage account statement is a valuable source of information about your investment accounts and opportunity to spot mistakes or potential misconduct. If you see a transaction or entry you don’t understand or didn’t authorize, immediately call the brokerage firm or your financial professional to request an explanation.
Executive Summary
The Central Registration Depository (CRDSM) Redesign will require several action items from members. A Membership On Your Side will be mailed to the CRD contact in each member firm in the next couple of weeks that contains several items on which members must take action, CRD system pricing information, a list of service bureaus, and a Site Preparation Guide.
Questions
FINRA rules require members to provide associated persons with specified information relating to the uniform registration forms and predispute arbitration. FINRA has observed that members currently satisfy some of these requirements through manual processes, such as delivery of the information via U.S. mail. As part of the FINRA Forward initiatives, FINRA has made enhancements to its systems to give members the option of satisfying these requirements electronically via FINRA’s Financial Professional Gateway (FinPro GatewayTM) beginning November 3, 2025.
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting recent updates to the National Institute of Standards and Technology (NIST) Cybersecurity Framework (CSF) 2.0, which is a resource designed to help organizations manage and reduce cybersecurity risks, regardless of their degree of cybersecurity sophistication.
As an investor in leveraged ETFs, I oppose adding additional requirements to be able to invest in them. There are already very aggressive warnings against investing in leveraged ETFs on the brokerage sites that I've used (specifically Fidelity and Schwab). These extra warnings informed me that these products are not suitable for most investors and made you acknowledge that these
