.
Extended Hours Trading Risk Disclosure
Regulatory Notice
Notice Type
Guidance
Suggested Routing
Advertising
Compliance
Institutional
Legal
Operations
Options
Registered Representatives
Risk
Senior Management
Trading
Training
Key Topics
Extended Hours Trading Risk
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD Board of Governors has approved and filed with the Securities and Exchange Commission amendments to Schedule D of the By-Laws that increase the initial and continued inclusion criteria for securities traded in the NASDAQ
Less US government involvement
in the private sector, including investments.
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Committee on Banking, Housing, and Urban Affairs United States Senate
Dear FINRA regulators,
Private investors should have the right to choose to invest in funds that are a good fit for their investment objectives. It is unfair to eliminate the ability to invest in leveraged funds for the investing public, especially since many of these funds have a proven track record of protecting investment portfolios when used the right way.
If an investor chooses to be
REQUEST FOR COMMENTSubordination AgreementsComment Period Expires November 26, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementAppendix D to the Net Capital RuleNet CapitalSEC Rule 15c3-1Subordination AgreementsSubordinated LoansExecutive SummaryIn 2002, NASD adopted a requirement that firms submitting subordination agreements to NASD staff for approval provide
Please allow private investor the ability to invest in leveraged and inverse funds
I dont want government control over my private and personal investment.
We all know investing in stocks comes with risk. But, did you know that stop orders—a tool for managing that risk—can come with their own set of risks?
The Cybersecurity section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.