This request for exemptive relief is granted based on the Firm's representation that the Contributions were made prior to the individual being employed by the Firm, and that the individual has never engaged in municipal securities business, as defined by MSRB Rule G-37, the return of the Contributions, and the extensive information barriers and compensation restrictions.
GUIDANCE
Corporate Financing Fee
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal and Compliance
Senior Management
Operations
Corporate Financing
Fees
Public Offerings
Rule 2710
Rule 2720
Schedule A to NASD By-Laws
Well-Known Seasoned Issuers (WSKIs)
Executive Summary
On January 24, 2007, NASD filed with the Securities and Exchange
Commission (SEC) for immediate
*In response to requests for an extension, the comment period has been extended to February 21, 2023.
Summary
FINRA has begun developing a machine-readable rulebook to assist users to more readily analyze and search FINRA’s rules. As part of this initiative, FINRA is creating an embedded taxonomy (which is a method of classifying and categorizing a hierarchy of key terms and concepts) within
This is a bad rule! There is already excessive limitations on individuals from investing in products and securities (such as the accredited investor limitations). More limitations are bad, and will decrease the opportunities for individual investors to make money in the markets.
This proposed rule is AGAINST the very mission of FINRA (which is to protect investors) because it prevents them from
FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
Proposed Rule Change to Extend a TRACE Pilot Program
The staff granted an exemption from NASD Rule 2790 in connection with new issue offering where all decisions regarding the allocation of shares in the offering are determined at the sole discretion of the issuer, and the involvement of a member in the offering is mandated under state law and limited solely to ministerial functions.October 18, 2005 Noel M. Gruber, Esq.Kennedy &
Dear FINRA, It is imperative consideration for Proposed Rule #S7-24-15 be discontinued. The funds in question provide individual investors the means to easily diversify and balance exposure over multiple asset classes. This diversification, alongside the already significant margin requirement for purchase of the funds, reduces overall investment risk. This proposed rule would hurt the individuals
Don't increase stifling rules on trading. These rules won't help to democratize financial services but make them more elite.
The Disclosure of Routing Information 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.
