Executive Summary
The annual meeting of FINRA firms will take place on or about Friday, August 7, 2020, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Wednesday, July 8, 2020.
The purpose of
Amendments to NASD Rules Regarding Margin Requirements
Effective Date: December 1, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Margin Requirements
Regulation T
Rule 2520
Executive Summary
On August 25, 2003, the Securities and Exchange Commission (SEC) approved amendments to
TO: All NASD Members
The Securities and Exchange Commission has adopted amendments to the NASD Rules of Fair Practice and Code of Procedure which were approved by a membership vote pursuant to Notice to Members 85-43, dated June 12, 1985.
The new rules provide the NASD with an additional regulatory tool in monitoring the financial and operational condition of members that are not designated to
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 2, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,766. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
SummaryFINRA has amended its Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to make substantive, organizational and terminology changes to the rule.1 The amendments to Rule 5110 modernize, simplify and clarify its provisions while maintaining important protections for market participants, including issuers and investors participating in public offerings. The
The money I invest is my money, not the government. The investment is small and is in a separate asset class from stocks, bonds, ETF's etc. This thinly disguised attempt to take over the banking system, making everything requiring permission, will not be obeyed.
The Supervision section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
I feel that the government should not restrict my investments. I alone should be in charge what I wish to invest in. I am aware of The risks and it should be my right to invest in leveraged assets As I deem appropriate towards my investment goals.
Are you so afraid of Crypto currency because it threatens your power to regulate? It's our money we can do whatever we want with it and we want to invest in Crypto as well as other funds and assets.
I disagree because I have the full rights to invest my own money into any assets I desire, and all investors should be aware of the risk as they invest. Tests should not be required as investors should be and are aware of what we are investing into
