February 13, 2007
Dear NASD Member:
Last year I sent a letter to members that highlighted new and existing regulations that were of particular significance to NASD’s examination program. The letter was designed to offer you guidance by identifying areas of potential examination focus, allowing you to enhance related supervisory and compliance procedures and systems at your firm. Because the
<p>Staff interpretation on the use of electronic signatures under NASD Rules 3110(c)(1)(C) and 3010(d).<br/></p>
On November 15, 2021, FINRA’s Alternative Display Facility (ADF) will begin supporting timestamps up to nanosecond granularity (HH:MM:SS.sssssssss) in accordance with amendments to FINRA’s equity trade reporting rules. Please refer to FINRA Regulatory Notice 20-41 for additional information on firms’ reporting obligations under these amendments.
ADF currently supports timestamps up to
The world currency system is changing.............. and cryptocurrency funds is one of the systems for investment.
GUIDANCECorporate Debt SecuritiesSUGGESTED ROUTINGKEY TOPICSCorporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTrainingDebt SecuritiesOperationsRule 6200 SeriesTransaction ReportingTRACEExecutive SummaryOn June 14, 2004, the Securities and Exchange Commission (SEC or Commission) approved amendments to Rule 6230(a) of the Trade Reporting and
The work you do is incredibly important, and we appreciate and respect your critical contributions to our shared objectives of investor protection and market integrity.
I as an individual investor should be able to choose the investments that are right for me and my family, not just for the "high net-worth" accredited one-percenters. I should have to go through a process of passing a test before I can invest in public securities unless the government is willing to train individual investors like me and administer the test free of charge.
(a) Notice of Suspension of Member, Person Associated with a Member or Person Subject to FINRA's Jurisdiction if Corrective Action is Not Taken
If a member, person associated with a member or person subject to FINRA's jurisdiction fails to provide any information, report, material, data, or testimony requested or required to be filed pursuant to the FINRA By-Laws or FINRA rules,
I should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just The privileged. Furthermore, I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I did not have to do this to make a purchase. I am capable of
Once again the Federal Government is going to try and decide what is good for the public, the same public that pays for everything. The only person that should decide how I invest MY money, is ME. If you are going to impose a "test" in order for me to show understanding of the financial instruments I choose to invest it, I guess you're also going to reimpose the "poll tax
