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INFORMATIONALMarginSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementCustomer DisclosuresMargin Executive SummaryOn September 5, 2000, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) a rule proposal that would require members to deliver to non-institutional customers a specified
Sec. 11.7 In the event that any certificate representing shares of capital stock of FINRA Regulation shall be mutilated, FINRA Regulation shall issue a new certificate in place of such mutilated certificate. In the event that any such certificate shall be lost, stolen, or destroyed FINRA Regulation may, in the discretion of the Board or a committee appointed thereby with power so to act
I strongly disagree with the notion that more "guardrails" are needed for retail investors dealing in so-called "complex products." While some products are truly complex and require an investment of time for an investor to fully understand their risks and rewards, other products you name--particularly options--are not truly complex or difficult to understand with a modicum of
At FINRA, we’re the first line of oversight for the brokerage industry. And our employees are the defenders along that line, ensuring every day that we protect the investing public against fraud and other violations of FINRA rules and the federal securities laws.
We’ve built a framework and cultivated a mindset, a culture for innovation and collaboration. It not only helps ensure the securities
I am in support of FINRA being in control of the short interest compilation and most fine grained dissemination. I am in support of the most extreme reporting conditions. Reporting should be daily, there is too much time for them to change their books. There is also zero reason they can't report their holdings daily, they have computers, it's not like they actually do anything without
Sec. 11.2 The stockholder shall be entitled to a certificate or certificates in such form as shall be approved by the Board, certifying the number of shares of capital stock in FINRA Regulation owned by the stockholder.
Amended by SR-FINRA-2009-020 eff. Aug. 20, 2009.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.Selected Notice: 09-39.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsRegistration
Executive Summary
The 1993-94 NASD broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the renewal process through the payment of one invoice amount that will include fees for NASD personnel assessments; NASD branch-office fees; and New York Stock
SEC Approves Amendments to FINRA Rules on Reporting Cancellations of Previously Reported OTC Trades in Equity Securities
As an investor in leveraged ETFs, I oppose adding additional requirements to be able to invest in them. There are already very aggressive warnings against investing in leveraged ETFs on the brokerage sites that I've used (specifically Fidelity and Schwab). These extra warnings informed me that these products are not suitable for most investors and made you acknowledge that these
