Exemptive relief is granted based on: the representation that the individual did not engage in the solicitation of municipal securities business; for the six years prior to being hired by the Firm; the Contributions were made prior to the individual being employed by the Firm; imposition by the Firm of extensive Firm-wide information barriers on certain municipal securities business communications; prohibition of, for a specified period of time, the individual's solicitation of new municipal securities business; and the commitment to a quarterly certification of compliance.
October 2018 Supplement to the Options Disclosure Document
Summary
In February 2019, FINRA published Regulatory Notice 19-06, launching a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information) to assess its effectiveness and efficiency (the BCP Rule Review). The COVID-19 pandemic, beginning in early 2020, caused unprecedented regulatory and operational impacts on member firms and other market participants, as
I am a new retail investor but I have found quickly a strong sentiment of unfair trading practices and market manipulation by hedge funds that leaves retail traders at significant disadvantages. I appreciate the efforts on behalf of FINRA and the SEC to eliminate these events of malpractice by enforcing the rules that are currently in place, as well as, providing the public with more accurate and
The Series 65 exam — the NASAA Investment Advisers Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA.The exam consists of 130 scored questions and 10 unscored questions. Candidates have 180 minutes to complete the exam. In order for a candidate to pass the Series 65 exam, they must correctly answer at least 92 of the 130 scored
This proposed rule is very concerning. I do not support this New Rule! It is not FINRA's responsibility to regulate the ability of individual investors aptitude when it comes down to their own Due diligence to take their own risk's with their own Money. allowing investors to access to these products grants them ability to maintain certain strategy's. It is important that the
<p>Secondary market trading in ETF Advisors Trust shares does not violate NASD Rules 2830, 2110 or 2420.</p>
Comment Period Expires: September 29, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Mutual Fund
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests member comment on proposed amendments that would revise NASD® Conduct Rule 2830, governing the sale and
Except for FINRA Rules 8110, 8211, and 8213, all capital acquisition broker members shall be subject to the FINRA Rule 8000 Series, unless the context requires otherwise, provided, however, that:
(a) the term "associated person" as used in the FINRA Rule 8000 Series shall mean "associated person of a capital acquisition broker" or "person associated with a capital
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement.
