Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports
TO: Selected NASD Members
Under the AT & T divestiture program, for every ten shares of existing ("old") AT & T owned, shareholders of record December 30, 1983 will receive one share in each of seven newly-formed regional holding companies, while continuing to own ten shares of divested ("new") AT & T as well.
Beginning Monday, November 21, 1983,
Comments: Regarding FINRA Regulatory Notice 22-08.
I was forced into early retirement as a result of Covid. As such, I was forced into living off my IRA earlier than planned. I have been investing and trading for 45 years. I am a small retail trader. I occasionally employ the use of leveraged and inverse ETFs to protect against losses or to enhance returns with due regard for their intended
The Communications with the Public section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
(a) A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer's investment profile. A customer's investment profile includes,
(a) A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer's investment profile. A customer's investment profile includes,
Chairman Clayton, Commissioners, and Members of the Committee, thank you for inviting me to appear before you today to discuss the important issue of customer recovery in the financial services industry, including the issue of unpaid arbitration awards. For purposes of today’s discussion, my remarks are focused on unpaid awards in customer arbitration cases.
FINRA is fully committed to reducing
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of July 28, 1992, the following 48 issues joined the Nasdaq National Market, bringing the total number of issues to 2,916:
Symbol
Company
Entry Date
SOES Execution Level
CTEC
Cholestech Corporation
6/26/92
1000
SBUX
Starbucks
Just stop with the nanny state already. Enforce the rules you already have and obtain convictions for the fraud and malevolence which are everywhere in our financial markets. If you cannot prevent the looting at the ARK funds, or the huge batch of highly questionable IPO's from 1H 2022, what business do you have regulating leveraged instruments. There was huge risk to investing in
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