Displaying 1921 - 1930 of 8417 Results
202. Use of Manipulative, Deceptive or Other Fraudulent Devices
All capital acquisition brokers are subject to FINRA Rule 2020. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
201. Standards of Commercial Honor and Principles of Trade
All capital acquisition brokers are subject to FINRA Rule 2010. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
123. Associated Persons Exempt from Registration
All capital acquisition brokers are subject to FINRA Rule 1230. Amended by SR-FINRA-2019-006 eff. March 12, 2019. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
121. Registration Requirements
All capital acquisition brokers are subject to FINRA Rule 1210. Amended by SR-FINRA-2019-006 eff. March 12, 2019. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
119. Foreign Members
All capital acquisition brokers are subject to NASD Rule 1090. Amended by SR-FINRA-2019-006 eff. March 12, 2019. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
118. Application to Commission for Review
All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1019. Adopted by SR-FINRA-2015-054 eff. April 14, 2017. Selected Notice: 16-37.
Regulatory Notice 17-27
Guidance to Members Affected by Hurricane Harvey
Regulatory Notice 17-19
SEC Approves Amendments to FINRA Rules to Conform to the Shortened Standard Settlement Cycle for Most Broker-Dealer Transactions From Three Business Days (T+3) to Two Business Days After the Trade Date (T+2)
Funding Portals and Crowdfunding Offerings
The Funding Portals and Crowdfunding Offerings section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Richard Lai Comment On Regulatory Notice 22-08
We should have the right to invest in whatever asset we choose without these type of restrictions by FINRA. Also why do I need to take a test to be able to invest? I understand the risks and have done my due diligence. Leverage and inverse funds should be treated like any other asset or fund. These potential restrictions are not logical.