(a) Application of the By-Laws and the Funding Portal Rules
All funding portal members and persons associated with funding portal members shall be subject to the FINRA By-Laws and FINRA Regulation By-Laws, unless the context requires otherwise, and the Funding Portal Rules. Persons associated with a funding portal member shall have the same duties and obligations as a funding portal member
Summary
FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to establish May 31, 2007 as the effective date of the amendments to Rule 2340 (concerning customer account statements) that the SEC approved in September 2006 (SR-NASD-2004-171). The amendments require customer account statements to include a statement advising customers
The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals. The free webcast is open to the public and will take place on Thursday, December 7, 2023, from 10:30 a.m. to 4:30 p.m. ET.
I am an investor who trades with New York Stock Exchange shares. In order for markets to truly be free and fair, there needs to be a level playing field for all entities involved. This is agnostic of the risks involved. Deviating from that impacts trust as it can be interpreted that retail investors have different rules from other investor entities. I do not support this rule as it's
We should not be restricting individuals whatsoever, everyone should have a choice and have the opportunity to make their own decision and take responsibility in what they want to pursue and invest in. Investing is not just for the wealthy, besides, most of the wealthy started small. In this case you'd be restricting others from benefiting themselves and removing potential large higher
Arbitrator Training
Training Module
Arbitrators must complete the Expungement training course and pass the exam with a score of at least 80%. It is available on FINRA’s training platform.
Expungement Training (Module 16)
Enhanced Expungement Training - NEW
The Enhanced Expungement Training provides an overview of revisions to the Codes of Arbitration Procedure to
<p>NASD Rule 2110 and NYSE Rule 402.30—Partial Redemption Allocations and Disclosure Practices in Auction Rate Securities</p>
(a) Proceedings
The Rule 9000 Series is the Code of Procedure and includes proceedings for disciplining a member or person associated with a member; proceedings for regulating the activities of a member experiencing financial or operational difficulties; proceedings for summary or non-summary suspensions, cancellations, bars, prohibitions, or limitations; and proceedings for obtaining
I was a previous financial advisor. We became heavily regulated back in the day. The rules are in place and I understand, however when you infringe on peoples personal rights to invest by taking it a step further with the rules and regs already in place, now you are constitutionally wrong with the publics freedom to make fair choices on their personal investments and limiting them in this
