SEC Approval and Effective Date for New Consolidated FINRA Rules
FINRA’s Regulation Best Interest Conference, held on December 18, 2019, in Washington, DC was a one-day event designed to bring regulators, executives and industry practitioners together to learn more about Regulation Best Interest (Reg BI).
View the recorded sessions from the 2019 FINRA Regulation Best Interest Conference.
For technical questions, please call (800) 321-6273.
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Please continue to let the small retail investors trying to build their retirement funds when the markets begin to fall, continue to trade inverse and multi-leveraged funds. IRA accounts are not allowed to short stocks and can't get margin for shorting so when markets go down so fast and stops are not always in place, we become "bag holders" in many good company stocks but because
For Your Information
As described in NASD Notice to Members 01-67, President Bush issued an executive order on September 24, 2001, blocking the property of and prohibiting transactions with persons who commit, threaten to commit, or support terrorism. The order was issued through the U.S. Treasury's Office of Foreign Assets Control (OFAC); the offices of the Secretaries of State and
Recordings of sessions are available to FINRA member firms and CRCP graduates. View the recorded sessions from the 2019 FINRA Advertising Regulation Conference, and receive access to all conference materials. View the conference brochure for a list of recorded sessions and their descriptions.
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Monthly Disciplinary Actions May 2018
FINRA
FINRA publishes a weekly newsletter (the weekly update) containing its rule proposals and notices of rule approvals with effective dates. FINRA provides an email subscription service for the newsletter as well as other communications. FINRA also maintains a catalog of social media and RSS feeds.
FINRA CAT LLC
FINRA CAT LLC provides an RSS feed of its website updates
February 1999
Year 2000 Legal Update
As we rapidly approach the Year 2000, there are some legal issues that all member firms should consider. Following is important information on disclosure requirements.
The Securities and Exchange Commission (SEC) Staff Legal Bulletin No. 5 requires disclosure of Year 2000 information in the financial statements of all public companies. Amendments to SEC
