INFORMATIONAL
Bond Mutual Fund Volatility Ratings
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Bond Mutual Fund Volatility Ratings
NASD IM-2210-5
NASD Rule 2210
Executive Summary
On
Financial Industry Regulatory Authority, Inc. is filing with the Securities and Exchange Commission a proposed rule change to repeal NASD Rule 1130 and incorporated NYSE Rules 405A, 440F, 440G and 477 as part of the process of developing the consolidated FINRA rulebook.
The Neutral Corner – Volume 4—2023
SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule
RE: SEC Proposed Rule #S7-24-15, I believe that the proposed rule is radical, unworkable, and harms investors. Use of the term complex is vague and confusing leaving open the possibility of all sorts of unintended interpretations. It is an investors right to freely access the entire public investment market without unnecessary restrictions.
Dear FINRA, Please oppose restrictions to my right to invest in products which will protect my capital. The freedom to invest is paramount for investors to be treated equally and fairly in all products. The adoption of unfair rules will harm American stock market investors. Please stop this illegal adoption of new rules.
Summary
FINRA is issuing this Notice to remind members of their obligation to have systems or processes in place to determine whether a transaction in a TRACE-Eligible Security has occurred and is, therefore, reportable, even if it was not included on the TRACE security master list at the time of the transaction. In those circumstances, members should contact Market Operations to add the TRACE-
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1010 (Electronic Filing Requirements for Uniform Forms) to permit firms to file a Form U4 (Uniform Application for Securities Industry Registration or Transfer) based on an electronically signed copy of the form.  
GUIDANCE
Alternative Display Facility
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
Operations
Systems
Trading
Alternative Display Facility
IM-4613A-1
Multiple Market Participant
Identifiers
Registered Reporting ADF ECNs
Rule 4613A
Executive Summary
On August 8, 2006, NASD filed with the Securities and Exchange
Commission (SEC) for immediate effectiveness
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of the Treasury's (Treasury) amendments to the Bank Secrecy Act (BSA), which facilitate tracing funds through the funds transmittal process, became effective May 28, 1996. For transmittals of funds of $3,000 or more, broker/dealers are
