INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, the National Association of Securities Dealers, Inc. (NASD®) announces the election results for the District Committees and the District Nominating Committees. The newly elected
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 3, 1988, the following two issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,976:
Symbol*
Company
Location
AKRN
Comment Period Expires January 31, 1995
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistration
Executive Summary
The National Association of Securities Dealers, Inc. (NASD) requests comments on a proposed amendment to Article III of the Rules of Fair Practice (Rules) to require members to report to the NASD the occurrence of specified events and quarterly summary
Regulatory Obligations and Related Considerations
Regulatory Obligations
Reg BI establishes a “best interest” standard of conduct for broker-dealers and associated persons when they make a recommendation to retail customers of any securities transaction or investment strategy involving securities, including recommendations of types of accounts.
Broker-dealers are also required to provide a
(a) Time to File Notice of Appeal
A Respondent or the Department of Enforcement may file a written notice of appeal within 25 days after service of a decision issued pursuant to Rule 9268 or Rule 9269.
(b) Effect
An appeal to the National Adjudicatory Council from a decision issued pursuant to Rule 9268 or Rule 9269 shall operate as a stay of that decision until the National Adjudicatory
(a) Recusal, Withdrawal of Panelist
If at any time a Panelist of a Hearing Panel or an Extended Hearing Panel determines that he or she has a conflict of interest or bias or circumstances otherwise exist where his or her fairness might reasonably be questioned, the Panelist shall notify the Hearing Officer and the Hearing Officer shall issue and serve on the Parties a notice stating that
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (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.
A free market system is exactly what we need. When I say free market I mean the ability of the retail investor to make their own decisions based on their own personal risk/reward assessment. Retail investors are legal adults who are rational and responsible for their own actions. Retail investors are quite capable of using their own judgement to manage their money. Every responsible adult is
When you’re young, it’s easy to feel like there’s no rush to save for retirement. But before you know it, you might find yourself in your 50s or 60s and nowhere near your retirement savings goal. If you’re getting closer to retirement, what can you do to boost your nest egg?
