1 This report is not intended to express any legal position and does not create any new regulatory requirements or suggest any change in any existing regulatory obligations, nor does it provide relief from any existing regulatory obligations. This report summarizes key findings from FINRA’s outreach and research on the use of quantum computing in the financial
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Senate Special Committee on Aging
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The U.S. Department of the Treasury recently adopted regulations under the South African Sanctions Act. The provisions of the Act were the subject of NASD Notice to Members 86-76.
This notice provides information relating to the new investment provisions of the Act which became effective on November 16, 1986.
The full text of
SUGGESTED ROUTING
Senior Management Corporate Finance Legal & Compliance Syndicate
Executive Summary
On May 10, 1994, the Securities and Exchange Commission (SEC) approved amendments to Schedule E to the NASD By-Laws (Schedule E) that require compliance with its provisions if a member participating in a distribution of a public offering of debt or equity securities has a conflict
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-11 Notification provisions for brokers and dealers.
This section applies to the following types of entities: Except as provided in this introductory text, a broker or dealer, including an OTC derivatives dealer as that term is defined in § 240.3b-12, registered
I dont understand why anyone would make it hard and try to regulate or boycott any individual, no matter how much knowledge they may have, or how much capital they feel like investing. It feels like they are trying to take even more rights away from people in order to keep people in financial categories. Its our human rights and natural nature to want more of anything that we have or aquire.
These rules and regulations are for the rich to stay rich and so the retail average investor has little to no chance. Larger investors simply have the capital and can just buy their way into privilege. Someone's access to financial products should not be limited to their class as your access to medical care should not and is not limited to your class race or anything for that matter. We all
Summary
FINRA requests comment on a proposed change to its current policy relating to the assignment of OTC symbols to unlisted equity securities. Specifically, FINRA is considering whether it should begin assigning OTC symbols to unlisted equity securities that do not have a valid CUSIP identifier, in the limited circumstance where a member firm demonstrates its best efforts to obtain a CUSIP
The Direct Market Access Controls section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
I believe that restrictions on the ability to invest in inverse and leverage funds should not be made. I use triple leveraged funds to get greater returns/market exposure while maintaining some free cash in my portfolio to invest. These should be publicly available as it allows the average investor to have many more options available to them. Even with low amounts of starting capital, a savvy
