Exemption from lock-up provisions in Rule 2710(g) for shares to be issued upon the split of common stock that takes place within 180 days of the required filing of the offering with NASD when the pre-split shares were acquired prior to the 180 day timeframe.
The FINRA West Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the West Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides opportunities
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
Please. I beg you. We, the public, are not your children. Please stop treating us as such.
If we have funds sufficient to invest, then we have shown that we have sufficient wherewithal to read and understand a contract. Let us.
Several years ago I was granted shares under an Employee Stock Purchase Plan, through eTrade. Upon one grant, I observed that the stock was on an upward run. I sought to
I am disturbed and appalled to hear that FINRA is planning to prohibit my ability to invest in leveraged and inverse funds. I adamantly oppose to any regulator deciding how I should invest! I am angered by this arrogant and tyrannical effort to restrict how a consumer should invest his/her money. This is a clear and coordinated attack on the retail consumer to place the wealthy at a clear
Boston Stock Exchange (BSE) specialists effecting transactions in NYSE securities through ECNs, or Nasdaq securities through the UTP Plan, from terminals located on the floor of the BSE, are effecting transactions on the floor of the BSE for purposes of NASD Rules 1032(f) and 1060.<br/>
SUGGESTED rOUTING
Senior Management
Continuing Education
Legal & Compliance
Executive Summary
The Securities Industry/regulatory Council on Continuing Education (Council) includes 13 members representing a cross-section of securities firms and six self-regulatory organizations (SrOs).1
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
Summary
FINRA seeks comment on a proposal to implement the recommendations of the Securities Industry/Regulatory Council on Continuing Education (CE Council) enhancing the continuing education requirements for securities industry professionals.1 The proposal would change the: (1) Regulatory Element to provide annual training, make the content more relevant, incorporate diverse instructional
On This PageForm U4 Explanation of TermsForm U5 Explanation of TermsForms BD & BDW Explanation of TermsForm BR Explanation of TermsForm U4 Explanation of TermsThe following definitions apply to terms that are italicized in Form U4:AffiliatedMeans under common ownership or control.Affiliated FirmMeans a broker-dealer under common ownership or control with the filing firm.ApplicantMeans the
