REQUEST FOR COMMENT
Regulation of Compensation, Fees, and Expenses in Public Offerings of Real Estate Investment Trusts; Direct Participation Programs, Including Commodity Pools; and Closed-End Funds
Comment Period Expires March 12, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Closed-End Funds
Commodity
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules; Comment Period Expired: November 14, 2008
FINRA's new Machine-Readable Rulebook is designed to enhance firms' compliance efforts, reduce costs and aid in risk management, with a lot to gain for firms of all sizes and various business models. On this episode, we hear what exactly the Machine-Readable Rulebook is, how it works, and how you can start taking advantage of all it has to offer.
<p>The applicability of NASD Rule 3040 to situations in which associated persons are proposing to receive selling compensation.<br /></p>
FINRA and the SEC Issue Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections
FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)
Summary
The NAC has revised FINRA’s Sanction Guidelines, which guide FINRA adjudicators in developing remedial sanctions for violations of the securities rules. These revisions were based on a review to ensure that the guidelines accurately reflect the levels of sanctions imposed in FINRA disciplinary proceedings. The revisions tailor sanctions to differentiate between types of respondents and
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined two firms a total of $2.15 million and ordered the firms to pay more than $3 million in restitution to customers for losses incurred from unsuitable sales of floating-rate bank loan funds.
Dear FINRA regulators,
I have been a professional investor for 35 years and have taught investment management to MBA students at a Tier 1 University for 20 years. During this time I have had interactions with investors at all levels of investing knowledge and experience, and believe it is imperative that all public securities remain freely available to all investors. To try and regulate who can
Retirement plans like a 401(k) are long-term investments. But that doesn’t mean you should set them up and forget about them until you retire. Schedule an annual 401(k) “checkup” to make sure your plan still meets your needs.