Displaying 1791 - 1800 of 8419 Results
Notice to Members 99-38
SUGGESTED ROUTING Suggested Routing Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts As of March 23, 1999, the following bonds were
SEA Rule 15c3-3a Exhibit A and Related Interpretations
/*<![CDATA[*/ ol.parentheses li:before { content:"(" counter(section, lower-alpha) ") "; } .indent_secondpara, .indent, .indent_firstpara { margin-bottom:1em; text-indent: 2em; } .interp { background-color:#cce6f6; margin:2em 0 2em 5em; padding:1em; } .interp div { margin-bottom:1em; } body{ font-family:open sans; font-size:.8em
Gabriel Skipper Comment On Regulatory Notice 22-08
To FINRA: I'm a former member of FINRA, previous holder of multiple securities licenses (for over 20 years) and former registered rep and principle. I'm writing to comment and provide feedback on the proposed limitations in this regulatory notice. I strongly oppose limitations on my (and other retail investors) ability to utilize both leveraged and inverse ETFs to achieve my
SR-FINRA-2018-031
Proposed Rule Change to Amend FINRA Rule 1220(a)(4) (Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal)
Notice to Members 04-42
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registration Senior Management District Elections Executive Summary The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill
Regulatory Notice 10-22
Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
SR-FINRA-2008-067
SR-FINRA-2008-067 - Proposed Rule Change to Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook
Anonymous Comment On Regulatory Notice 22-08
Please see below for comments in response to Regulatory Notice 22-08. Thank you for the opportunity to provide feedback. Definition of complex should be objective- if use of derivatives is a criterion it should be applied to all funds that do so. This suggests that more useful criteria would focus on factors like maximum risk of loss, risk of the fund not being able to meet its stated objectives
Interpretive Letter to Name Not Public
Uniform Practice Code Rule 11870 requires a member to adopt specific measures to facilitate the portability of all transferable securities, including mutual fund shares.<br/>