This Report highlights FINRA’s regulatory operations programs’ expanded focus on ongoing key areas of risk to investors and the markets:
Reg BI and Form CRS
Regulation Best Interest (Reg BI) and Form CRS remain areas of focus across FINRA’s regulatory operations programs. FINRA’s reviews of member firms’ adherence to their obligations pursuant to Reg BI and Form CRS address a number of areas,
Comments: As both an ETF investor and ETF industry executive, I'm alarmed at FINRA's latest regulatory notice 22-08, which has major implications for both the ETF marketplace and the investing public.
It's not in the public's best interest for FINRA to deliberately limit investment choices or to impose fettered obstacles that intimidate and restrict the retail
&PARTNERS40 BURTON HILLS BLVD., SUITE 350, NASHVILLE, TN 372151031 SECURITIES INC.25300 WEST 13 MILE RD, FRANKLIN, MI 4802516 POINTS LLC10101 COND ROYAL PALM, VEGA ALTA, PR 006921851 SECURITIES, INCONE AMERICAN ROW, HARTFORD, CT 061021964 GLOBAL71 MURRAY STREET, NO. 8, NEW YORK, NY 100071ST DISCOUNT BROKERAGE, INC.8927 HYPOLUXO ROAD, SUITE A5, LAKE WORTH, FL 334672021 CAPITAL20 S CLARK
SUGGESTED ROUTING*
Senior Management
Institutional
Legal & Compliance
Mutual Fund
Operations
Options
Registration
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD requests members to vote on proposed amendments to Article III, Sections 2
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of October 12, 1989, the following nine issues joined the NASDAQ National Market, bringing the total number of issues to 2,718
Summary
Investment professionals often develop close and trusted relationships with their customers, which in some instances have resulted in the investment professional being named the customer’s beneficiary, executor or trustee, or holding a power of attorney or a similar position for the customer. Being a customer’s beneficiary or holding a position of trust may present significant conflicts
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 17, 1987, the following 10 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,076:
Symbol*
Company
Location
BCKY
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
Good Morning. Thank you so much for being here with us today. I hope you will find the next two days to be a productive use of your time and that you will leave with valuable information and perhaps even some new friendships.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: SEPTEMBER 11, 1987.
EXECUTIVE SUMMARY
On October 28, 1986, President Reagan signed the Government Securities Act of 1986, providing for the regulation of government securities activities by brokers and dealers. This legislation created a new section 15C of the Securities Exchange Act of 1934, which requires
