Foreign Research Analyst Exemption from the Research Analyst Qualification Examination; Effective Date: April 7, 2008
Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the Consolidated FINRA Rulebook
Sec. 1. (a) The Board shall be the governing body of the Corporation and, except as otherwise provided by applicable law, the Restated Certificate of Incorporation, or these By-Laws, shall be vested with all powers necessary for the management and administration of the affairs of the Corporation and the promotion of the Corporation's welfare, objects, and purposes. In the exercise
Sec. 12.1 The seal of FINRA Regulation shall be circular in form and shall bear, in addition to any other emblem or device approved by the Board, the name of FINRA Regulation, the year of its incorporation, and the words "Corporate Seal" and "Delaware." The seal may be used by causing it to be affixed or impressed, or a facsimile thereof may be reproduced or
FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
Firms have shared the following ways they have used prior FINRA publications, such as Exam Findings Reports, Priorities Letters and Reports on FINRA’s Examination and Risk Monitoring Program, to enhance their compliance programs. Firms may consider these practices, if relevant to their business model. We welcome feedback on how our firms use FINRA publications.Assessment of Applicability:
FINRA Revises the Investment Company and Variable Contracts Products Representative (Series 6) Examination Program
I feel that the move to restrict access to leveraged and inverse funds is a wrong one. Such a restriction would devoid the retail investor from access to quality instruments that could be significantly beneficial. Several academic studies have underlined the importance of leverage. The LifeCycle Investment from Yale is one such example. These leveraged and inverse funds provide a simple option
I use leveraged funds in a an investing plan in which I am fully aware of risks. The government should NOT place any restrictions on the choices of individual investors as incorporating leveraged investments into my plan is my choice and I am under no obligation to do so. If the government desires to meddle in personal affairs, how about educating people about financial programs, investing and
SEC Approval and Effective Date for New Consolidated FINRA Rule on Trading Ahead of Research Reports
