America stands for "Freedom." These regulations are unjust to your average blue color worker.
Most of us are full time employee workers don't have access to 401k's or Pensions. Companies these days simply don't offer them like the used to. Instead we get the one and only option of utilizing the IRA for retirement.
WhATs ThE BiG DeAL?
- 401k's
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has issued Release No. 34-28347, containing proposed amendments to Rule 15c3-1 (the "Rule") with respect to withdrawals of net capital. The proposal would expand the
Effective: November 16, 1998
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Registered Representatives
Training
Executive Summary
On August 26, 1998, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Rule 2210 to require that written or electronic communications prepared for a single
Industry Governor (Small Firm Representative)President & Chief Compliance Officer, M.E. Allison & Co., Inc.Governor Since 2019Committees: Audit & Risk Committee, Regulatory Oversight CommitteeProfessional ExperiencePresident & Chief Compliance Officer, M.E. Allison & Co., Inc. (2022 – present)Chief Compliance Officer, M.E. Allison & Co., Inc. (
Sydney Teixeira joined FINRA in 2016 and is a Principal Analyst in the Fixed Income Regulation, Regulatory Policy and Practice department, responsible for monitoring the policy and examination implications of fixed income regulatory matters. As a member of Fixed Income Regulation, Ms. Teixeira has contributed to several of the group’s initiatives, including the response to the COVID-19 impact on
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Beginning October 1, 2018
FINRA is restructuring its representative-level qualification exam program by creating the Securities Industry Essentials (SIE or Essentials) exam and revising the representative-level qualification exams.
The program is being restructured to:
Reduce duplicative testing of general knowledge when taking exams to register in multiple categories, and
Make it
Summary
FINRA has adopted amendments to Rule 2165 (Financial Exploitation of Specified Adults) to permit member firms to: (1) place a hold on a securities transaction (in addition to the already-permitted hold on a disbursement of funds or securities) where there is a reasonable belief of financial exploitation; and (2) extend a temporary hold on a disbursement or transaction for an additional
Read CEO Robert Cook’s email to firms describing outcomes from the September 2020 FINRA Board of Governors Meeting.
TRACE Reporting Timeframes and Transparency Protocols1Type of TRACE-Eligible SecurityOther Transactions - Reporting TimeframesList or Fixed Offering Price Transaction (as defined in FINRA Rule 6710(q)), or Takedown Transaction (as defined in FINRA Rule 6710(r))- Reporting TimeframeTransparency2Corporate Bond (see FINRA Rule 6710(a))Within 15 minutes of time of execution (see FINRA Rule 6730(a)(1
INFORMATIONAL
Anti-Money Laundering Customer Identification Programs for Broker/Dealers
Effective Date: October 1, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Anti-Money Laundering
Compliance Programs
Executive Summary
On April 30, 2003, the Department of Treasury (Treasury) and