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For purposes of the Rule 6800 Series:
(a) "Account Effective Date" means:
(1) with regard to those circumstances in which an Industry Member has established a trading relationship with an institution but has not established an account with that institution:
(A) when the trading relationship was established prior to commencement of Phase 2c or Phase 2d (as applicable depending on
Sec. 5. The Corporation may delegate its authority under this Article in a manner not inconsistent with the Delegation Plan.
Amended by SR-NASD-2007-023 eff. July 30, 2007.
Adopted by SR-NASD-97-71 eff. Jan. 15, 1998.
Industry Governor (Large Firm Representative)President, Private Client Group, Raymond James Financial Governor Since 2023Committees: Nominating & Governance Committee, Regulatory Policy CommitteeProfessional ExperienceRaymond James Financial President – Private Client Group (2018 – present)President – Raymond James Financial Services (2012 – 2018) Senior Vice President – Private Client
(a) Data Transmission
Each Industry Member shall transmit data as required under the CAT NMS Plan to the Central Repository utilizing such format(s) as may be provided by the Plan Processor and approved by the Operating Committee.
(b) Connectivity
Each Industry Member shall connect to the Central Repository using a secure method(s), including but not limited to private line(s) and
As Vice President – Regulatory Risk Counsel, Alex Ellenberg is responsible for providing guidance, counsel and analysis to the leadership team and various Market Regulation and Transparency Services (MRTS) groups regarding a wide variety of strategic, operational, regulatory, risk and compliance functions and activities. He also supports and provides strategic risk analysis to the MRTS team in
Dear Regulators,
To an ordinary investor like myself, one of the biggest advantages in investing this market is the freedom to invest whatever I see as opportunities, and versatility of products I can choose from to realize my investment strategy despite my budget and net worth. I personally believe restrictions you are planning to enforce on ordinary investors will greatly damage this freedom,
In November 2007, the Securities Industry/Regulatory Council on Continuing Education (the Council) released the semi-annual Firm Element Advisory. The Council suggests that firms consult this guide in developing their Firm Element needs analysis.
FINRA’s training resource library includes a range of online offerings that address many of the topics that the Council has outlined in the Firm
November 1998
Mandatory Testing
On October 5, 1998, the National Association of Securities Dealers, Inc. (NASD®) filed a proposed rule change with the Securities and Exchange Commission (SEC) that would mandate Year 2000 testing for clearing firms, market makers, and government securities firms. The proposed rule also would strongly encourage testing between correspondent clearing firms and
I vehemently oppose restrictions on how I choose to invest my money in public investment of any kind. I am not a child and it's not your role to treat me like one. I shouldn't have to prove anything to anybody regarding the funds I desire to invest in. I know how to plan my investments. Whether they produce the results I desire is NOT your problem. It is mine. I'm
I am opposed to the restrictions FINRA is proposing on the ability of retail investors to buy leveraged and inverse ETFs. For one, this is an impugnment on basic freedom that the US is supposed to stand for. I am more than capable of reading the basic documentation for these funds and understanding the risks I choose to take. They are also critically important to my investing strategy and