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Luke Irby Comment On Regulatory Notice 22-08
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. Explain that you are capable of understanding leveraged and inverse funds and their risks. Tell regulators you do not need these measures imposed on you. Myself, Not people that impose and regulate should have the right to choose what to
Notice to Members 01-19
INFORMATIONAL The PORTAL Market Effective Date: June 16, 2001 For PORTAL Equity Securities SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Registered Representatives Senior Management Technology Trading & Market Making
Election Notice – 9/4/25
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Regulatory Notice 18-25
ATS Supervision Obligations Regulatory Notice Notice Type Guidance Referenced Rules & Notices FINRA Rule 2020 FINRA Rule 3110 FINRA Rule 4370 FINRA Rule 5210 FINRA Rule 6190 FINRA Rule 6191 Regulatory Notice 14-10 Regulatory Notice 17-22 SEA Rule 15c3-5
Information Notice - 4/15/11
Continuing Education Planning
Regulatory Notice 11-42
Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period
Notice To Members 92-47
SUGGESTED ROUTING:* Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The work of the NASD's Board of Governors standing committees is essential to
Regulatory Notice 21-12
Summary FINRA is issuing this Notice to remind member firms of their obligations during extreme market conditions with respect to handling customer orders, maintaining appropriate margin requirements and effectively managing their liquidity.    Questions concerning the best execution guidance discussed in this Notice should be directed to: Patrick Geraghty, Vice President,
Notice To Members 90-29
SUGGESTED ROUTING* Senior Management Corporate Finance Institutional Legal & Compliance Municipal Mutual Fund Research Syndicate Systems Trading Training *These are suggested departments only. Others may be appropriate for your
Information Notice - 10/14/11
Continuing Education Planning