FINRA Requests Comment on a New Academic TRACE Data Product
FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
Each registration category has a default base qualification exam. Starting in January 2023, if a registration category was obtained by a passing alternate qualification exam, a “Credit” for the default base exam(s) is added to the individual’s exam information in their CRD record. This information is viewable in their FINRA Gateway profile as well as the Qualifications area in FinPro.
I find the idea of restricting access to financial tools extremely offensive. The market is built around the concept of public availability. Restricting access to certain stocks or tools simply because an elite few deem them unfit for the unwashed masses is egotistical and morally reprehensible. Please do not create a private walled garden around inverse and leveraged funds. Consider the scenario
Comprehensive Automated Risk Data System
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Risk
Senior Management
Technology
Key Topics
Reporting Requirements
Referenced Rules & Notices
FINRA Rule 4311
Regulatory
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The second session of the 102nd Congress, which adjourned on October 9, 1992, passed only one major bill of direct interest to the securities industry, the Futures Trading Practices Act. Other proposed securities
Remarks by Chairman and CEO Rick Ketchum at the Research Center on the Prevention of Financial Fraud 2011 Conference
(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and the public interest and the protection of investors, the Department shall determine whether the Applicant meets each of the following standards:
(1)
(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and the public interest and the protection of investors, the Department shall determine whether the Applicant meets each of the following standards:
(1)
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and