Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Summary
FINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (Board). This Notice provides:
a description of responsibilities for the various groups;
an overview of each elected vacancy to be filled in 2023; and
a summary of how eligible individuals can become
The FINRA Board of Governors will consider the following rulemaking items at its September 2012 meeting.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC recently adopted Rule 15c2-6, which is effective January 1, 1990. It imposes sales-practice requirements on broker-dealers that recommend transactions in certain low-priced, non-NASDAQ over-the-counter
If you think an investment vehicle is dangerous then restrict the vehicle for ALL, not a class of investors YOU think is not sophisticated enough to understand the vehicle. I use leveraged funds to hedge other investments. What gives you the right to take that away? You perhaps have too much power and Congress needs to investigate your practices. Perhaps one watchdog was a bad idea. If FINRA
I am appalled that the SEC thinks they have the right to tell how and when is acceptable for me to invest in any instrument. I am a frequent investor in leveraged and inverse funds and demand that you take no actions that infringe in any way on my ability to continue to do so. These investments should be available to all, not just to a privileged few. I insist that you drop all planned actions
SEC Approves Consolidated FINRA Rules Governing Financial Responsibility
Last Updated: March 11, 2024Dispute Resolution Services (DRS) is publishing this guidance to remind parties and their representatives, arbitrators, and mediators that the unauthorized disclosure of a Suspicious Activity Report (SAR) is a violation of federal law that may be punishable by civil and criminal penalties. As described in greater detail below, three categories of “SAR Information”—SARs
Divorce can impact all aspects of your life, including your financial responsibilities and goals. But there are ways that can help you better understand—and stay in control of—your investments.
For Your Information
National Association of Securities Dealers, Inc.
January 1989
Toll-Free Numbers for New York NASDAQ Operations Center Take Effect Soon
With the opening of business on January 9, 1989, the New York NASDAQ Operations Center may be reached via toll-free 800 service from all locations.
Effective January 9, 1989, the new numbers are:
For SOES operations information (e.g.,
