When you buy a stock, you're buying part ownership of a company and an opportunity to partake in its successes (or failures) over time, but it can be hard to compare different stocks. A company’s earnings per share (EPS), price-to equity ratio (P/E) and other ratios can help you compare companies of different sizes.
The provisions of the three quote rule apply to transactions in foreign securities executed on a foreign exchange for member customers.
The Product Suitability section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Customers to Receive Approximately $12 Million in Restitution. Firm Fined $2.3 Million; President and Head Trader Fined and Suspended.
INFORMATIONAL
Municipal Fund Securities
SUGGESTED ROUTING
KEY TOPICS
Executive RepresentativesInstitutionalLegal & ComplianceOptionsSenior Management
Investment CompaniesMunicipal Fund Securities/529 PlansSales Material
Executive Summary
NASD recognizes that the market for municipal fund securities, particularly Section 529 college savings plan securities, continues to evolve
INFORMATIONAL
Certificates Of Deposit
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Trading
Operations
Senior Management
Long-Term or Brokered Certificates of Deposit
Executive Summary
Members increasingly have been offering to customers a number of non-traditional certificate of deposit (CD) products. Typically, these products are long-term CDs
ACTION REQUESTED
Interfering With Customer Account Transfers - Proposed Interpretive Material
Comment Period Expires: July 6, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Account Transfers
Employment Disputes
Injunctions
Executive Summary
NASD Regulation, Inc. (NASD Regulation) is
SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests
Establishing "firewalls" that prevent the execution of short sales in securities not on a member's "Easy to Borrow" list would be consistent with Rule 3370(b). A member that only conducts a review after a short sale order has been executed to ensure that the security is on the "Easy to Borrow" list would not be in compliance with Rule 3370(b).
