It can be difficult to recover assets lost to fraud or other scenarios in which an investor has experienced a problem with an investment. But there are legitimate ways to attempt recovery. In most cases you can do so on your own—at little or no cost.
(a) Members are required to report transactions in NMS stocks, as defined in Rule 600(b) of SEC Regulation NMS, effected otherwise than on or through a national securities exchange to FINRA. For purposes of the Rule 6100 Series, "otherwise than on an exchange" means a trade effected by a FINRA member otherwise than on or through a national securities exchange. The determination of what
During its March 6 and 7 meeting, the FINRA Board of Governors approved a rule proposal to lower the age at which parties qualify for accelerated arbitration processing and approved the allocation of prior-year fine monies.
<p>Permissibility of electronic approval of accounts under NASD Rule 3110(c)(1)(C). (Note: Underlining indicates redactions from original letter).</p>
<p>Member firms may pay retired registered representatives continuing commissions based on contributions to accounts established by the former representatives prior to retirement, provided the conditions of NASD IM-2420-2 are satisfied, and further, that such payments are made in compliance with SEC "no-action" letters addressing the permissibility of those payments under Section 15(a) of the Securities Exchange Act of 1934. Firms cannot pay retired registered representatives commissions based on activity in accounts established after the representatives' retirement.</p>
<p>Proposed employee leasing arrangement does not violate Rule 2420.</p>
ACTION REQUESTED
Rule Modernization Project
Comment Period Expires: July 2, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Rule Review
Rule Modernization
Executive Summary
Over the past several years, NASD Regulation, Inc. (NASD Regulation) has conducted a comprehensive review of many of the National
John Gannon Testimony - July 16, 2008: Testimony Before the
Special Committee on Aging
United States Senate
I have been using Leveraged ETFs for years as part of my family's overall wealth building and management plan.
There is no reason for government regulation and limitations to be placed on these instruments, as they are an important tool in helping meet financial goals.
These are publicly traded funds that provide powerful boosts to performance for personal investors at a reasonable cost
There may come a time when you want to transfer your securities accounts between broker-dealers. If so, here’s what you need to know.Most customer accounts are transferred between broker-dealers through an automated process. The National Securities Clearing Corporation (NSCC) operates the Automated Customer Account Transfer Service (ACATS) to facilitate the transfer of a customer account from one
