The Best Execution topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
FINRA provides real-time market trade information for Corporate and Agency bonds, Securitized Products (ABS, CMO, MBS, TBA) and Private Placement (144A) bonds including execution date and time, quantity, price, and yield as reported to TRACE (Trade Reporting And Compliance Engine). Since the bond market is less liquid than most markets for stocks, there may be no trade activity
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Last modified: June 15, 2022
The Financial Industry Regulatory Authority, Inc. ("FINRA" ) develops, produces, and licenses financial services industry-related materials and courses that are made available on the FINRA.org website (https://www.finra.org/rules-guidance/key-topics/senior-investors/elder-abuse-prevention-training). The materials and course
SEC Approval and Effective Date for New Consolidated FINRA Rules
INFORMATIONAL
NASD Board Of Governors Nominees
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KEY TOPICS
Legal & Compliance
Senior Management
NASD Board Of Governors
National Association of Securities Dealers, Inc. Notice Of Nominees
The Annual Meeting of members of the National Association of
SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
I truly feel that this new regulation would severely damage any investor that is interested in securing his or her financial future.
Cryptocurrency is the one financial vehicle that is not only affordable to ANY investor regardless of the amount of wealth they may have but that can change an investors financial status overnight.
It is no more risky, than any stock an investor may buy or trade
I am strenuously opposed to the investment restrictions/limitations indicated here.
A) As a taxpaying, voting, citizen of the United States I strenuously object to these investing restrictions and ardently reserve MY RIGHTS to make financial decisions that are in my and my families best interest. This is particularly important when investing our own personal and retirement money.
B) I should not
Summary
FINRA seeks comment on proposed amendments to Rule 4210 (Margin Requirements) that would clarify and incorporate into the rule current interpretations regarding when issued and other extended settlement transactions, and provide relief to facilitate the application of the rule to these transactions.
The proposed rule text marked to show changes from the current rule text is
In a request for interpretive guidance, a member asks if NASD Rules prohibit a member from paying finders or referral fees to CPAs that are not registered as associated persons.
