SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of June 20, 1997, the following bonds were added to the Fixed Income
Generational wealth must not require a literacy test. Investors must not require a literacy test. Both concepts protect the firms making the investments and negate responsibility for incorrectly explaining financial consequences that may occur.
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
Firm Also Failed to Maintain Supervisory System, Report Customer Complaints
WASHINGTON—FINRA announced today that it has fined Webull Financial LLC $3 million for not exercising reasonable due diligence before it approved customers for options trading; not maintaining a supervisory system reasonably designed to identify and respond to customer complaints; and not reporting certain written
As a reminder, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform beginning Monday, September 28, 2020. The new platform will be available to all current FINRA New Issue Form users with the same log in credentials used to access the New Issue Form today.
To find more information about the changes and to access
GUIDANCE
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities Operations
Rule 6200 Series
Transaction Reporting
TRACE
Executive Summary
On June 14, 2004, the Securities and Exchange Commission (SEC or
Commission) approved
Summary
FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection in a manner that promotes vibrant capital markets. The purpose of this Notice is to encourage employees of member firms and other interested
My comments submissions are: 1. The purpose of this change is to improve transparency within the market to counter fraudulently or bad actors having the ability to circumvent reporting mechanisms for their own gain, and often the loss that retail investors suffer as a result when operating within the market. This premise should underpin how all comments are reviewed and revisions incorporated. 2
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Registration
Systems
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) Board of Governors has approved changes to Schedule A of the NASD By-Laws affecting the Central Registration Depository (CRDSM) fee structure. The
Dear Sirs:
I submit these comments in opposition to this FINRA Regulatory Notice:
I oppose limitations on use of ETFs that relate to "leveraged" or "inverse" funds. These ETFs are already fully disclosed to the public, and form a crucial part of many investor's plans for investing. Each individual is different; there is no "one size fits
