Financial institutions have an obligation to safeguard your personal financial information, but you have an important role to play as well. Understanding how customer account takeover incidents and theft of personal financial information might occur and taking steps to minimize your risk can make a difference.
Module 3: Security Futures explains the characteristics and elements of security futures.
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On-Demand Recording: Phone-In Workshop and WebEx Presentation
Original Program Date: April 6, 2017
On this video recording of an April 6, 2017, FINRA staff reviewed relevant rules and regulations, provided a demonstration of new related forms, and discussed testing and other relevant technical information.
On-Demand Recording: Phone-In Workshop and WebEx Presentation;
Original Program Date: April 6, 2017
A callable bond allows its issuer to redeem it before the listed maturity date. For bond holders, this means the potential loss of future interest payments and a lower than expected return on investment. It’s important to understand the terms of these products and how an early redemption can impact your investment goals.
Sec. 8.8 The Board may fix a record date in accordance with Delaware law.
Deleted by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Adopted by SR-NASD-99-21 eff. July 9, 2000.
Sec. 1. In order that the Corporation may determine the members entitled to notice of or to vote at any meeting of members or any adjournment thereof, or to express consent or dissent to corporate action in writing without a meeting, or for the purpose of any other lawful action, the Board may fix, in advance, a record date, pursuant to Section 213 of the General Corporation Law of the
Sec. 11.8 The Board may fix a record date in accordance with Delaware law.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.
SummaryFor the past several years, FINRA has encouraged firms to keep their risk monitoring analyst informed if the firm, or its associated persons or affiliates, engaged, or intended to engage, in activities related to digital assets, including digital assets that are non-securities.1 FINRA appreciates members’ cooperation with this request and is encouraging firms to continue to keep
TRACE Reporting and Dissemination of Non-member Affiliate Transactions
