Testimony of Stephen Luparello, Vice Chairman of FINRA Before the Committee on Agriculture
OverviewThis Guidance is to assist applicants prepare Form CMA (Continuing Membership Application), when seeking approval of an increase in associated persons involved in sales, as defined in IM-1011-1. (See Standard 1 for further detail.) Specified parts of Form CMA are marked with an asterisk (*) to designate the information or documentation that must be submitted with the application. One
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
WASHINGTON— The Securities and Exchange Commission (SEC), the Municipal Securities Rulemaking Board (MSRB) and FINRA today announced that registration is now open for the 2025 Joint Compliance Outreach Program, a two-day event to discuss compliance and regulatory matters directly with municipal market professionals. The program will be held virtually via Zoom on November 18 and 19.The event gives
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 (formerly Schedule C, Part XII of the National Association of Securities Dealers, Inc., By-Laws) of the NASD® Membership and Registration Rules, which prescribes requirements for
I should have the right to invest my money where I so choose, and that should not be decided by an outside party. We all have access to the knowledge we need and can make informed decisions about what we want to invest in. Please do not take that away from us. We are informed.
We, the retail investor, need current and up to date, daily information. We, the retail investor, require fairness and equality in making good decisions concerning the investments we choose. With current and up to date daily information, lets us make better financial decisions.
A member firm may include related performance information in institutional communications concerning continuously offered closed-end funds, subject to the stated conditions discussed in the letter.
The use of related performance information in institutional communications, subject to specific conditions, is consistent with the applicable standards of FINRA Rule 2210.
The FINRA Entitlement Program provides a secure way for firms to access many of FINRA’s web-based systems.
