Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and
Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list. Please refer to Regulatory Notice 17-30 and FINRA Rule 1220 for further details.
Series 4 - Registered Options Principal Examination (OP)
Covered activities include supervising a member's options
FINRA shares an annual snapshot of some of the data collected in the course of its work to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals.
View Data
About the Data
Data Description
The FINRA Industry Snapshot provides a high-level overview of the industry, ranging from the number of FINRA-registered individuals to the
1 This paper is not intended to express any legal position and does not create any new requirements or suggest any change in any existing regulatory obligations, nor does it provide relief from any regulatory obligations. While this paper summarizes key findings from FINRA’s outreach and research on the use of cloud computing in the securities industry, it does not
Managing a retirement account takes some work. Your plan administrator generally handles your portfolio's actual transactions and the recordkeeping and reporting, but you decide when and how to reallocate and rebalance your assets.Beyond keeping tabs on the performance of your portfolio, you’ll want to know your plan’s rules and procedures and how much your plan and its investments are
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed changes to Schedule E that would require compliance with its provisions if a member participating in a distribution of a public offering of
The Office of General Counsel (OGC) of NASD Regulatory Policy and Oversight publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (Hearing Panel and National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission (SEC) in NASD cases).
I am a private trader/investor. I have been using inverse and leveraged vehicles for many years in addition to more traditional vehicles. I have both made and lost a huge (for me) amount of money in them, but with time and trading experience I have been able to learn to trade them correctly greatly to my advantage. My issue with the proposed regulations is that the present regulatory attempts I
Inverse ETFs, commodity based ETFs and alternative investment ETFs like BITO provide a simple mechanism to diversiy and hedge the market for any investor.
It’s a valuable investment tool for any investor who does not have access to highly specialized brokerage accounts with margin account.
Usually, the brokerage warns the investor about the dangers of such investments before the trade goes
REQUEST FOR COMMENT
Pandemic Regulatory Relief
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal and Compliance
Operations
Registration
Senior Management
Systems
Trading
Business Continuity
Capital and Financial Reporting
Requirements
Extensions or Credit and Securities
Delivery
Filing and Reporting Requirements
Licensing
Operations
Supervision
Trade Reporting
Temporary
