Executive Summary
To help members comply with the Free-Riding and Withholding Interpretation of the NASD Board of Governors (Free-Riding Interpretation), on May 13, 1996, the NASD will initiate a new regulatory service called "Compliance Desk." The NASD believes that Compliance Desk will give members timely notification of hot issues that are subject to NASD regulatory review, and
The Fixed Income Mark-Up Disclosure section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend paragraph (a)(3) of FINRA Rule 4512 (Customer Account Information) to permit the use of electronic signatures and to clarify the scope of the rule.
The Series 82 exam — the Private Securities Offerings Representative Exam — assesses the competency of an entry-level registered representative to perform their job as a private securities offerings representative.
The Series 22 exam — the Direct Participation Programs Limited Representative Exam (DR) — assesses the competency of an entry-level registered representative to perform their job as a direct participation programs representative.
The Series 6 exam — the Investment Company and Variable Contracts Products Representative Qualification Examination (IR) — assesses the competency of an entry-level representative to perform their job as an investment company and variable contracts products representative.The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an
SEC Approves New FINRA Rule 5122 Relating to Private Placements of Securities Issued by a Member Firm or a Control Entity
Proposed Rule Change by National Association of Securities Dealers, Inc. Relating to Amendments to the OATS Rules to Require that ECNs Capture Routed Order Identifier Information
I fall into the category of investors which this regulatory notice is aiming to protect: I am a relatively young retail investor who has chosen to invest in complicated funds on a self direct brokerage. Therefore, I feel the need to discuss my experience with complex products.
I acknowledge that these funds are more complicated than conventional products. However, complication does not mean
Similar to your accredited investor restrictions in Alternative Investments, you are doing more than you are worth. If people are not researching/making informed investing decisions then that is their prerogative but why do you feel the need to restrict those of us that have? Another waste of tax payer dollars through a bureaucratic government agency pretend to play the role of parent
