NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent reports of a CrowdStrike service outage affecting Microsoft operating systems. FINRA continues to monitor the outage.
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the distribution of ballots to elect one North Region and one West Region representative to the Small Firm Advisory Committee (SFAC). FINRA small firm members1 in the North and West Regions as of the close of business on October 18, 2021, are eligible to vote in these elections.
Ballots are
NASD formed the Mutual Fund Task Force (“Task Force”) to consider issues relating to soft dollars, mutual fund portfolio transaction costs and distribution arrangements. The Task Force was established after discussions between the Securities and Exchange Commission (“SEC”) and NASD staffs, to provide guidance to the SEC as it considers these issues.
The Task Force is comprised of senior industry
I notice you are welcoming comments on regulatory notice 21-19 regarding short positions. In my opinion, the current US financial system is highly fraudulent, with the regulatory agencies being complicit. They are complicit by complacency, with years of unchecked fraud and market manipulation through naked short selling by large hedge funds like Citadel and Susquehanna being allowed to happen
<p>A wrap fee program in which a registered representative/investment adviser neither receives transaction fees nor is involved with the execution of securities transactions would be subject to NASD Rule 3030, rather than Rule 3040.<br/></p>
The purpose of this Election Notice is to notify member firms of the upcoming nomination and election process to fill forthcoming vacancies on FINRA District Committees and District Nominating Committees.
The current District Committee and District Nominating Committee members are included in Attachment A. Information on District Election procedures is included in Attachment B. A candidate
Investments in leveraged ETFs gave me the ability to sustain my family in times of our tumultuous economy. I would not have access to them had they been over zealously gatekept by over-regulation. I can only assume that in your position you are hoping to protect the public from investing in securities they do not fully understand or you feel is potentially exploitive. Perhaps issuers of
The Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform their job as a general securities representative.
The investing public not regulators should be able to choose the investments that are right for me and my family.
Investments should be available to all of the public, not just the privileged. You shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and inverse funds. I am capable of understanding leveraged and
