Regulatory Relief
PLEASE NOTE: The FINRA rulebook currently consists of both NASD Rules and certain NYSE Rules that FINRA has incorporated, including the NYSE rules referenced in this Notice. The incorporated NYSE Rules apply solely to members of FINRA that are also members of NYSE on or after July 30, 2007, referred to as "Dual Members." Dual Members also must comply with NASD Rules.
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
I likely would fit all the criteria (VHNW, etc.) which I sort of sign off on for options trading at Fidelity yet I oppose this action. There are better ways to achieve investor protection without making them jump through hoops which in practice just turn out to be theatre.
I agree with extensive warning and labels to ward off uneducated investors. But regulator imposed tests, etc. are just
I have been investing in leveraged mutual funds for several years. They helped me earn my first and second million dollars. I hear you are considering limiting access to only the very wealthy who can also pass a test. I asked you not to do this. If you were to make regulation please at least allow those of us that could pass a test expressing a reasonable level of understanding of market risk to
Operative Date of Short Sale ACT Reporting Requirements for OTCBB and Other Non-NASDAQ OTC Equity Securities Extended to September 24, 2004
I can not see any reason not to take a test before investing.
The Communications with the Public topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING:*
Senior Management
Institutional
Legal & Compliance
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission approved on October 10 the establishment of Nasdaq
Many people are turning to online trading platforms for their investing needs rather than speaking directly with a representative at a brokerage firm. While this might sound straightforward, common misconceptions persist. If you’re considering online trading, here are some things to know.
The Series 9 and 10 exams — General Securities Sales Supervisor Qualification Exams (SU) —assess the competency of an entry-level principal to perform their job as a general securities sales supervisor.The exams measure the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities sales supervisor, including the approval of customer
