Updated SEC No-Action Guidance and Instructions on Electronic Filing of Broker-Dealer Annual Reports
TO: All NASD Members
The Securities and Exchange Commission has adopted a number of amendments to Rule 17f-2 concerning the fingerprinting of securities industry personnel. These revisions are intended to simplify the process of claiming exemptions by clarifying existing provisions of the rule and by incorporating in the rule other exemptions previously granted by the Commission on a case-by-
Guidance on the Net Capital and Reserve Formula Treatment of Senior Unsecured Debt Securities Issued Under the Debt Guarantee Program Component of the FDIC's Temporary Liquidity Guarantee Program; Effective Date: July 15, 2009
Leveraged ETF's like QQQ Proshares or Inverse ETF's can significantly enhance returns and consolidate effort, like any fund. Why would FINRA or any gov't agency assume we as investors are too dumb to understand the risks/ benefit analysis? Right now the NASDAQ-indexed QQQ's are down because of government incompetence, throwing around money for people not to
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
Guidance on FOCUS Reporting for Operating Leases
Holly Lokken is Senior Vice President in Market Regulation and Transparency Services. Ms. Lokken leads the Trading and Market Data Analytics business unit, which is a centralized market analytics center of excellence providing rapid, innovative, and impactful data and market analytics to each of FINRA’s Market Regulation core functions as well as the broader FINRA organization. Ms.
Executive Summary
NASD is concerned about the number of increasingly complex products that are being introduced to the market in response to the demand for higher returns or yield. Some of these products have unique features that may not be well understood by investors or registered persons. Others raise concerns about suitability and potential conflicts of interest. While NASD has and will
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
