Requirements of NASD Rule 2420 to broker/dealer arrangement to pay certain commissions and SEC Rule 12b-1 fees to accounts of various employee benefit plan customers.
This REEKS of corruption by the FINRA!!! There is no one out there that FULLY understands every aspect of the stock market, Doctorates (multiple) or none. The market is simple principals that work either on an ETF or common stock. There is not a single stock that is 100% guaranteed to make a profit, some are much more riskier than others. The FINRA should not be Wall Street’s thug enforcer, but
Rules “enhancements” means more rules. My broker make it very clear this was a very high risk investment. I was required to sign approximately 4 different documents that I had never had to sign before in 35 years of investing. I know exactly what I own and don’t need extra protections.
Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites
Proposed Rule Change to Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
<p>Applicability of NASD Rule 3070 to the operations of a mutual fund and variable product distributor broker/dealer.<br/></p>
NASDR has filed with the SEC a proposed rule change to amend NASD Conduct Rules 2710 and 2720, and IM-2110-1.
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
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsTrading
Executive Summary
The Securities and Exchange Commission (SEC) has adopted amendments to certain rules under the Securities Exchange Act of 1934 (Act) that apply to transactions in low-priced securities traded in the over-the-counter market. Specifically, the SEC amended Rule 15c2-6, which makes it
Many firms will from time to time seek to expand their business by, for example, adding a new line of business or substantially increasing the scope and size of their existing business that may or may not require a Continuing Membership Application (CMA) for FINRA's approval.
When contemplating a change to its business activities or operations, a firm should think about whether the proposed
