FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA Adopts Amendments Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Interpretive Material 2210-5 to extend the expiration date of IM-2210-5 from August 31, 2001 to August 31, 2003, and to clarify that the filing requirements and review procedures applicable to sales literature that includes bond mutual fund volatility ratings, as set forth in NASD Rule 2210(c)(3), also will expire on
Comment Period Expires: July 31, 1998
SUGGESTED ROUTING
Legal & Compliance
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on a series of National Association of Securities Dealers, Inc. (NASD®) rules that would authorize NASD Regulation Department of Enforcement staff,
Comments: I believe the rules are stringent enoughand most investor traders know these are short term instrumentsleave the rules alone
This proposed rule is not fair to the common people. If you want to make a new rule, target the big banks instead.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
The Funding Portals and Crowdfunding Offerings section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
I oppose the Rule #22-08. My right to invest will taken away from me. Please vote against the Rule #22-00
<p>NASD Rule 2110 and NYSE Rule 402.30—Partial Redemption Allocations and Disclosure Practices in Auction Rate Securities</p>
