SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsSystems
Executive Summary
The NASD urges members to take immediate action to ensure the accuracy and completeness of trading data submitted through the NASD's electronic blue sheet system in response to regulatory inquiries. The NASD has become concerned that the quality of submissions by members is not at
I think that I should be able to invest my money the way I want. There should be no test to pass allow me to invest. It is a perfect hedge for future appreciation. Thank you.
I should be able to control my investments fully not regulators; we shouldn't have to go through any tests; leveraged and inverse funds are critical to my portfolio
It is my right to decide how to invest. I use leveraged and inverse funds to hedge and protect my investments. I should not be subjected to a regulator's test in order to invest this way.
Leveraged and inverse funds are a critical component of my investment strategy. I shouldn't have to go through any special testing or process before I can make such investments.
We find it outrageous to mess with a system that works, only for government benefit. Everyone should have the choice of investing in which public equities or bonds they chose. Please oppose any interference or change to our present system.
Registered individuals are required to complete Continuing Education (CE) annually by Dec. 31. Annual Regulatory Element CE training may be accessed by visiting FinPro. Individuals who self-enrolled can complete their training by logging in to TESS®.Support for FinPro, TESS and CE is available during core business hours, Monday through Friday from 8 a.m. to 8 p.m. ET.
SummaryThe purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and rule
MSRB Rules G-12 and G-14
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives Legal & Compliance Senior Management
MSRB Rules G-12 MSRB Rules G-14 Transaction Reporting
Executive Summary
NASD reminds member firms about the obligations imposed by Municipal Securities Rulemaking Board (MSRB) Rules G-12 and G-14, particularly the requirement that member firms
SEC Approves Amendments to Customer Arbitration Code to Simplify Panel Selection in Cases With Three Arbitrators
