The FINRA Board of Governors will consider the following rulemaking items at its February 2015 meeting: BrokerCheck disclosure; Discretionary accounts and transactions; Regulatory Element continuing education; Sales of securities on military installations; and TRACE transaction reporting and historic data sets.
GUIDANCE
Corporate Debt Securities
Effective Date: June 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Dissemination of Transaction
Information
Operations
Rule 6200 Series
TRACE Rules
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620B (Trade Reporting Facility Reporting Fees) to modify the trade reporting fees applicable to participants that use the FINRA/NYSE Trade Reporting Facility (“FINRA/NYSE TRF”).
Operations Professional Qualification Examination, Examination Fee and Initial Rollout Period
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal & ComplianceOperationsSenior Management
Clearing FirmsIntroducing FirmsNASD Rule 2342Securities Investor Protection Act of 1970 (SIPA)Securities Investor Protection Corporation (SIPC)SIPC BrochureSIPC Web Site
SIPC Information
Executive Summary
On May 10, 2007, the Securities and Exchange Commission (SEC) approved NASD Rule 2342
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Alternative Display Facility
ADF Trading Centers
Regulation NMS
SEC Rule 611
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
<p>NASD Rule 11190 - Reconfirmation and Pricing Service Participants</p>
I oppose the proposed rule as I believe it is over reaching and unnecessary. Leveraged and inverse funds are not that complex. Betting at the horse races and on sports teams would be a better target for regulation. And inverse and leveraged funds offer an important option for investors when conditions warrant the risk. I would hate to see complex rules and restrictions placed on this investment
