GUIDANCE
Code of Arbitration Procedure
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registered Representatives
Senior Management
Training
Arbitration
Code of Arbitration Procedure
Dispute Resolution
Mediation
Executive Summary
The Securities and Exchange Commission (SEC) has approved the
NASD Codes of Arbitration Procedure for Customer and Industry
Disputes (
OATS Rules 7440(c)(1) and 7450 require firms to record and report to OATS information related to the transmittal of an order to a department within the member.
While requiring disclosure of additional information regarding complex financial products seems good in principle, it seems quite possible that this will be yet another textual agreement that almost nobody reads and most people click through. Figuring out who needs the information provided and how to present it in a way that they will understand it seems important.
However, requiring testing to
Findings Reveal Decline in U.S. Adults’ Ability to Make Ends Meet and Save for Emergencies, More Households Strained by Increased Costs, and the Struggle of the Middle-Income Group
These products have been around for years with no 'damage' to any investors. Informed investors are fully aware of the risk associated with both Inverse and Leveraged ETFs.
As a retiree with long service in paying taxes and abiding complexity. This proposed change
Serves no benefit to citizens making informed choices to invest in public equities.
I'm an informed investor and aware of the possible risks involved so please don't take away the freedom of what I want to do with my money.
Inverse fund are an important check on the stock market. I believe that individual investors, when informed of the risks involved, should be able to choose to invest in these funds.
Hello, I dont want my rights limited in terms of my investment choices. Im an informed investor and dont want to lose access to these funds.
Resources for Rules Concerning Brokers with a Significant History of Misconduct
Regulatory Notice 21-09
Mapping of Disclosure Categories for Rule 1017(a)(7)
Materiality Consultation Checklist for Rule 1017(a)(7)
FINRA Taping Rule (FINRA Rule 3170)
General Information on Statutory Disqualification and FINRA’s Eligibility Proceedings
Interim Plans of Heightened Supervision FAQs
Sample
