New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants
TO: All NASD Members
Recently, Norman T. Wilde, Jr., Chairman of the NASD, received a letter from Vice President George Bush advising of the Administration's formation of a Task Group to review the existing system of federal regulation of financial institutions and services.
The Vice President explained in his letter that the Task Group would very much appreciate obtaining the views of
- Many of the leverage etfs, specially those which represents the broader market, such as UDOW (3x Dow Jones etf), have a long term upward movement and can be held long term if investors can stomach the volatility. Meaning if investor held them, they would have been rewarded. If you ignore the most recent downturn, UDOW since inception had an upward movement and rewarded investors more than 15
Supplemental FOCUS Filing Requirement Applicable to Certain Joint Broker-Dealers/Futures Commission Merchants
SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
The choice to invest should be incumbent on the individual investor risk and reward, and there should be no separation of access based on financial status.
The premise of changing behavior by regulation is flawed in every form it has been attempted. Especially with investing, new instruments or alternative instruments will be used, and I prefer to use leveraged assets which are connected to a
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce thenominees for the District Committees and the District Nominating Committees. The individuals
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Appendix F under Article III, Section 34 of the Rules of Fair Practice and Schedule D to the NASD By-Laws. The amendments would restrict member participation
A firm is required to promptly update Form BD information by submitting amendments whenever the information on file becomes inaccurate or incomplete for any reason.
Additionally, when a FINRA member firm plans to undergo a material change in business operations it is required to file a Continuing Membership Application (CMA) with FINRA’s Membership Application Program (MAP) Group prior to
