SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceMutual FundOperations
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to the NASD mutual fund maximum sales charge rule that would subject asset-based sales charges to the provisions of the rule.
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Dear FINAR, I have been investing leveraged funds like TQQQ, UPRO, UDOW, SOXL,FAS for years. When they were held for long term, these type funds deliver extraordinary results for retail investors like me. As a wager earner and an average American , I see these type funds are only hope to get me to retirement. There are many bad risk assets in you list. The ones I mentioned are not. They are good
I am writing to express my objections to the proposed regulations limiting access to leveraged/inverse ETFs/Funds. In particular the need to demonstrate a high net worth in order to purchase these assets is unnecessarily discriminatory and fails to take into account that someone without significant assets may still be able to employ a reasonable, successful and profitable strategy by using these
Cryptocurrency and crypto currency funds should not be limited to qualified investors. It is the duty of all investors to understand the what they are investing in and the risks involved. Closing off retail investors from an entire class of assets would be a disservice and over reach. As this sector of the economy grows and evolves it is on all of those investing to research and understand what
This rule is no longer applicable. NASD Rule 2340 has been superseded by FINRA Rule 2231. Please consult the appropriate FINRA Rule.
(a) General
Except as otherwise provided by paragraph (b), each general securities member shall, with a frequency of not less than once every calendar quarter, send a statement of account ("account statement") containing a description of any securities
I’m proud to announce that IDG's Computerworld has named FINRA No. 1 among midsize companies on its 2020 Best Places to Work in IT list. This is our ninth appearance on the annual list, but beyond being No. 1 in our category, this one is particularly special.
Here’s why.
The prevailing theme among the organizations that were recognized this year was a focus on career development and
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC recently adopted Rule 15c2-6, which is effective January 1, 1990. It imposes sales-practice requirements on broker-dealers that recommend transactions in certain low-priced, non-NASDAQ over-the-counter
INFORMATIONAL
Arbitration Awards
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Arbitration Awards
Motions to Vacate
Nonpayment Of Awards
Suspension Proceedings
Executive Summary
In August 2000, the National Association of Securities Dealers, Inc. (NASD®) published Notice to Members 00-55 which announced that NASD Dispute
WASHINGTON—FINRA announced today the launch of FINRA Forward, a series of initiatives to improve its effectiveness and efficiency in pursuing its mission. The Three FINRA Forward initiatives:Modernizing FINRA Rules. FINRA is conducting a broad review of its rules to modernize requirements, facilitate innovation and eliminate unnecessary burdens. Empowering Member Firm
