INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their continuing
The Best Execution Outside-of-the-Inside (BE) report card is a monthly status report detailing the number of transactions reported to a FINRA Facility (i.e., a FINRA Trade Reporting Facility or FINRA's Alternative Display Facility) in which your firm participated that were executed Outside-of-the-Inside market in apparent violation of the Best Execution Rule. If non-compliance with the Best
With the technology today and the money that's being made in the markets by all parties, except for retail traders who get the shaft when it comes to getting "free" trades. Even by the sanctioning bodies that are supposed to over watch all of it's "members" and the standards upon which they are held, are not doing their jobs. Not REQUIRING that all members to report
Given the growth of the international prime brokerage (IPB) business, FINRA recently interviewed representatives from many of the largest prime brokerage firms to determine how this business is conducted.
By Jason Foye, Chief of FINRA’s Crypto Hub
FINRA’s core mission is to protect investors and promote market integrity. This mission is at the heart of everything we do. An important example of this mission in action is our work to address the unique regulatory challenges presented by the activities of our member firms that relate to crypto assets—also known as digital assets—which are assets
I am very concerned that I have heard that regulators are contemplating putting new requirements on individuals that want to invest in leveraged or inverse funds. I am an investor that has been investing in various stock, mutual funds, and ETFs for over 50 years. The advent of leveraged and inverse funds through the use of ETFs has greatly enhanced my capability to improve my investment returns
INFORMATIONAL
Anti-Money Laundering
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Compliance Programs
Money Laundering
Executive Summary
On October 26, 2001, President Bush signed the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 (PATRIOT
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
Revised SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
I as an American citizen should have access to these products, not left only for the rich. The entire stock market is a complex beast, but with research there are many tools to become more informed. I am capable of making my own informed decisions. We as small investors should not have to jump through hoops that others do not. There are already so many restrictions and we should not have any more
