NASD has filed with the SEC a proposed rule change to Schedule A to NASD By-Laws to amend its member regulatory pricing structure. Under the current structure, three types of fees and assessments are used to fund NASD’s member regulatory activities: Regulatory Fee, Personnel Assessment, and Gross Income Assessment. The proposed restructuring is comprised of four important amendments: 1) eliminate
THE ABOVE PROPOSED FINRA RULE #22-08. THIS IS NOT A GOOD RULE, PAUSE FOR AFTER GESARA/NESARA IS IN FULL AFFECT, I SHOULD NOT HAVE TO DO ANYTHING SPECIAL TO PURCHASE ANY CRYPTO-CURRENCIES. THANK YOU AND WE NEED CRYPTO TOO.
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).
To whom it may concern at FINRA,
It is my understanding that you are considering adding more regulations and rules to certain kinds of investments. I ask that you Do Not do this. While I understand certain rules and regulations have their time and place, I can see no reason why additional regulations are needed in this particular case. Not only would they be a burden to the average investor, they
I am against the FINRA Proposed Rule #22-08. Under the long-standing disclosure-based system, investors have the right to decide which public equities, bonds and funds they want to buy. Rule #22-08 upends that principle, giving regulatorsnot methe power to decide what public securities I can and cannot invest in. Investors have the right to freely access the entirety of the public securities
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 7470 (Exemption to the Order Recording and Data Transmission Requirements) to extend for three years FINRA’s ability to exempt certain members from the recording and reporting requirements of the Order Audit Trail System (“OATS
GUIDANCE
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a guide for firms to use when developing their continuing
Except for the FINRA Rule 9700 Series, all capital acquisition broker members shall be subject to the FINRA Rule 9000 Series, unless the context requires otherwise, provided, however, that:
(a) the term "associated person" as used in the FINRA Rule 9000 Series shall mean "associated person of a capital acquisition broker" or "person associated with a capital acquisition
NASD issues this annual publication to assist member firms in their compliance efforts.
Effective Date: February 15, 1998
SUGGESTED ROUTING
Senior Management
Advertising
Internal Audit
Legal & Compliance
Mutual Fund
Operations
Training
Executive Summary
On November 4, 1997, in Release No. 34-39294, the Securities and Exchange Commission (SEC or
