Investment fraud comes in many forms, often involving opportunities and offers that seem compelling. To avoid being drawn into a scam, keep your guard up and look for warning signs before you commit to an investment.
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Applicability
The hearing procedures under this Rule shall apply to a member, person associated with a member, person subject to FINRA's jurisdiction or other
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Investment Analysis Tools
Comment Period Expires: September 13, 2002
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Investment Analysis Tools
Rule 2210
Executive Summary
NASD Rule 2210(d)(2)(N) prohibits NASD member firms from making predictions or projections of investment results to the
Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies
Continuing Education Planning
Upcoming FINRA Board of Governors Election
Proposed Consolidated FINRA Rules Governing Books and Records Requirements; Comment Period Expires: June 13, 2008
As you may know, the consolidation of NASD and NYSE Member Regulation into a single self-regulatory organization, the Financial Industry Regulatory Authority (FINRA), became effective July 30, 2007. Below is an overview of how this consolidation will impact the reporting process for OATS users:
Email users – must obtain new email encryption certificate and send to a new email address
