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/>
If you’re putting together a team of people to help you with your financial needs, you might want to consider adding an attorney to the mix. Not only can lawyers help investors resolve problems with their brokers, but they also can help with estate planning and other investment-related issues.
With the aging of the baby boom generation, a growing number of our nation’s investors are at or near retirement age. Indeed, data presented at the first “Seniors Summit” held by the Securities and Exchange Commission (SEC) in July 2006 indicated that 75% of the nation’s consumer financial assets, valued at $16 trillion, are held by households headed by someone who is 50 or older. Within the next
SR-FINRA-2008-067 - Proposed Rule Change to Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook
As Senior Vice President, Enterprise & Financial Solutions, Carrie DiValerio is responsible for leading FINRA’s Enterprise Strategy function. In this role, she oversees the development of enterprise and department strategy through implementation of the objectives and key results framework and management of FINRA’s human capital and initiative resources. Since joining FINRA in
FINRA departments also create specific subject-matter committees as needed to consult on various issues. Approximately 55 individuals participate on these committees that serve as important advisory bodies within FINRA’s regulatory framework.
I am an adult, and can accept the responsibilities of my investing decisions. I don't need a regulator to tell me how to invest my personal finances. The lottery is perfectly legal and ran by governments as a tax on the poor.
Leveraged and inverse funds are an important part of my investment strategy. They don't take a degree in rocket science to understand. As with investing in
Several rules require notification to FINRA and the U.S. Securities and Exchange Commission (SEC) based on certain financial and operational obligations. FINRA’s Regulatory Notifications application in FINRA Gateway provides a filing system for member firms to electronically submit this information to FINRA. For guidance related to submitting required notifications to the SEC, firms should visit the SEC’s website or contact the SEC.
Effective Date: February 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceSyndicate
Executive Summary
On November 10, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Subsection (b)(7)(C) to Article III, Section 44 of the Rules of Fair Practice clarifying that the exemptions from the filing requirements of
FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
