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Patrick Lehner Comment On Regulatory Notice 22-08
Individual investors are more educated and have more educational resources than ever. I dont see that there is a need to limit individual investors in a way that is a step back for flexibility and individual choice. Limiting individuals in a significant manner as proposed simply creates a potential monopoly for registered financial advisors to offer services that an individual simply cant have
Notice to Members 04-20
GUIDANCEIPO Distribution ManagerVoluntary Effective Date: March 23, 2004Mandatory Effective Date: April 16, 2004SUGGESTED ROUTINGKEY TOPICSCorporate FinancingInstitutionalLegal & ComplianceOperationsSenior ManagementSyndicateTrading & Market MakingTrainingFree-Riding and WithholdingIPO Distribution ManagerIPOsRetentionRule 2790Underwriting CommitmentExecutive SummaryTo coincide
TRACE Depository Institution Reporting User Acceptance Testing
On Thursday, September 1, 2022, FINRA will begin to collect data on depository institutions’ daily transactions in marketable U.S. Treasury securities and in the debentures and MBS issued by U.S. federal government agencies, including government-sponsored enterprises (agencies), via its Trade Reporting and Compliance Engine (TRACE). A production User Acceptance Test (UAT) will occur on Saturday
Election Notice - 2/23/09
Nominees for the District Committees and District Nominating Committees
Ask FINRA Advertising Regulation Senior Staff Webinar
Hear how to navigate current developments in FINRA’s communications rules and industry marketing practices including mobile apps, social media, and other digital channels. Panelists answer questions on how to embrace the future of communications while remaining compliant.
Regulatory Notice 10-54
FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship
Testimony on Banking, Housing, and Urban Affairs
Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape
Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises Committee on Financial Services
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to testify regarding securities arbitration.
Regulatory & Compliance Alert - Fall 1997
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TRACE Depository Institution Reporting Final User Acceptance Testing
On Thursday, September 1, 2022, FINRA will begin to collect data on depository institutions’ daily transactions in marketable U.S. Treasury securities and in the debentures and MBS issued by U.S. federal government agencies, including government-sponsored enterprises (agencies), via its Trade Reporting and Compliance Engine (TRACE). A final production User Acceptance Test (UAT) will occur on