To FINRA, Timely and accurate reporting of all positions is paramount to the success of a trader. We use this information daily to assess the markets and to formulate strategies. All proposed changes need to be forward thinking, so we may operate in a 21’st century marketplace. We need more data to accurately predict market movements. You need to provide us with as much accurate and timely data
Supplementary Material .15 is effective from Apr 24, 2014 through Dec. 1 2015.
(a) Supervisory System
Each member shall establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. Final responsibility for proper supervision shall rest with
INFORMATIONAL
Dispute Resolution Hearing Location
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
Arbitration Dispute Resolution Mediation
Executive Summary
NASD Dispute Resolution has established San Juan, Puerto Rico as an additional hearing location, effective January 1, 2003. This will be the third hearing location established outside of
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Regulatory Element
Series 6 Program
Executive Summary
This NASD Notice to Members announces that Monday, January 14, 2002, is the effective date that the new Series 6 Program Regulatory Element (S106) for Investment
GUIDANCE
Branch Office Registration
Effective Date: October 31, 2005
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Branch Office Registration
Central Registration Depository
(CRD® or Web CRD)
Form ADV
Form BR (Uniform
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved an amendment to Article III, Section 28 of the NASD Rules of Fair Practice requiring an associated person to notify the employer member in
Summary
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November and
As a retail investor that has garnered a profit over the years trading options as well as holding leveraged ETFs on and off and having gleaned through the wealth of information available to me about these products I don't believe there's any need for further regulation. Both options and leveraged ETFs should be trade-able by "non-sophisticated" retail investors at their own
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
(a) Events Requiring Application
A member shall file an application for approval of any of the following changes to its ownership, control, or business operations:
(1) a merger of the member with another member, unless both are members of the New
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Supplemental Inventory Schedule (“SIS”) pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) so that members that are filers of FOCUS Report Part II will not be required to file the SIS. The proposed rule change does not
