Nominees for the District Committees and District Nominating Committees
FINRA Rule 4530 requires firms to report specified events; quarterly statistical and summary information regarding written customer complaints; and copies of specified criminal and civil actions. FINRA Rule 4530 was modeled after former [NASD Rule 3070] and former [NYSE Rule 351]. Any matter that becomes subject to reporting or filing on or after July 1, 2011, must be reported
Provided are URLs (Internet addresses) to access Web CRD and the Web CRD site for Registered Representatives.
Executive Summary
The purpose of this Election Notice is notify FINRA small firm members that ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC) have been mailed to all eligible firms. FINRA small firm members1 in the New York Region as of the close of business on Friday, October 18, 2019, are eligible to vote in these elections. All eligible firms
I'm an individual investor who trades leveraged products and options on an almost daily basis. Leveraged products and options have become the cornerstone of my investment strategy and provide the income stream I need to live on in my retirement. I've spent over 12 years as an active investor and have put the time and effort into learning how such products work using all the
Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
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 the annual Firm Element Advisory, a
Leveraged funds are an important part of my investment strategy. Information on these funds and their risks are readily available to public investors. Restricting these funds to only a select few would be harmful to the general public.
Please allow me to object to your FINRA Reg. Notice #22-08.
Kindly inform me of the rationale you are using to justify a
restriction on the public's option to invest in leveraged and inverse funds.
I do not need a regulatory board telling me I am too poor or too under informed to take a risky financial investment. I should have equal rights to all other investors.
