Nominees for FINRA Board of Governors
When it comes to financial products that offer diversification, investors have no shortage of choices. Unit investment trusts are just one of those options.
In this highly manipulated market designed to enable the already extremely rich, though 40% of the market's new money the last two years is from peons and plebiscites like myself, it is no surprise to me that the absurd, obscure policies of this abusive regulatory body would do anything other than take advantage of it. To force commom investors to the exposure, the risk of derivatives and
INFORMATIONAL
NASD and NYSE Joint Release on
Section 311 of the USA PATRIOT Act
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Anti-Money Laundering
Discussion
This Notice reminds member organizations that the Financial Crimes
Enforcement Network (FinCEN) has issued a final rule imposing a
special measure,1 which becomes effective August 14, 2006
Bitcoin is a popular cryptocurrency, which is a form of electronic cash, in which a ledger of all transactions is stored as a blockchain. In this article we will show how to compile your own local copy of the Bitcoin client, run it, and add custom commands in order to inspect various attributes of the underlying blockchain.
SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal
Summary
FINRA adopted amendments to Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)1 in light of the Securities and Exchange Commission’s (SEC) amendments to SEC Rule 15c2-11 (SEC Rule 15c2-11).2 As amended, Rule 6432 will require a qualified inter-dealer quotation system (Qualified IDQS)3 to submit a modified Form 211 filing to FINRA in connection with each initial
June 15, 2021FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by FINRA senior staff to discuss cybersecurity issues affecting the industry and effective practices.Speakers:Robert Cook, FINRA President and Chief Executive OfficerKeith Bettencourt, Specialist Manager, Member SupervisionWyatt Hamilton, Associate Principal Risk
SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR)
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined COR Clearing LLC (formerly Legent Clearing LLC), of Omaha, Nebraska, $1 million for numerous failures to comply with anti-money laundering (AML), financial reporting and supervisory obligations.