The regulatory mission of FINRA is to protect investors and strengthen market integrity through vigorous, even-handed and cost-effective self-regulation. FINRA embraces self-regulation as the most effective means of infusing a balance of industry and non-industry expertise into the regulatory process. FINRA believes that an important facet of its regulatory function is the building of public
The regulatory mission of FINRA is to protect investors and strengthen market integrity through vigorous, even-handed and cost-effective self-regulation. FINRA embraces self-regulation as the most effective means of infusing a balance of industry and non-industry expertise into the regulatory process. FINRA believes that an important facet of its regulatory function is the building of public
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 8310-2 ("IM-8310-2") regarding the release of disciplinary information to the public.
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
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
(a) Scope of Review
Except as otherwise set forth in this paragraph, the National Adjudicatory Council's review shall be limited to consideration of:
(1)
the record, as defined in Rule 9267, supplemented by briefs and other papers submitted to the Subcommittee or, if applicable, the Extended Proceeding Committee, and the National Adjudicatory Council; and
(2)
any oral argument
Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape
This action is not based on any evidence of misuse of leveraged ETFs. Arguably, this action would push investors into far riskier investments such as cryptocurrencies, margin trading, short term options, and penny stocks - why draw the line at leveraged ETFs? Utilizing a leveraged ETF tracking DOW30 and S&P500 as a small percentage of my portfolio helps me enhance my returns. Leveraged
NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
The National Adjudicatory Council (NAC) Revises the Sanction Guidelines Related to Misrepresentations and Suitability
