SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants
February 20, 2015
Mr. Gregory J. Nowak
Pepper Hamilton LLP
3000 Two Logan Square
Eighteenth and Arch Streets
Philadelphia, PA 19103-2799
Re: FINRA Rule 5130 - Restrictions on the Purchase and Sale of Initial Equity Public Offerings
Dear Mr. Nowak:
This is in response to your letter dated December 3, 2014, in which you request interpretive guidance on behalf of PCV Lux, SCA ("PCV
Proposed Rule Change to Extend the Expiration Date of the Refund Program Under FINRA Rule 3110.15 (Temporary Program to Address Underreported Form U4 Information)
Your plans for the future shouldn't just be about what happens to your property or financial affairs. The longer you live in retirement, the greater the likelihood that you will need to use health insurance or arrange for long-term care.
Once retired, you may have questions about the future—particularly about how your spouse and family will cope financially if you become disabled or die and what will happen to the assets in your estate after your death. These valid concerns underscore the importance of sound long-term retirement planning.
Retirement income management is all about making sure your retirement savings provide enough income for your needs, and that you don’t outlive your assets. This starts with setting up and managing a portfolio that's right for you.
When you retire, you need income you can count on, year in and year out for a very long time. From getting a handle on your sources of retirement income to strategies to make that income last throughout retirement, this resource will help you manage your retirement income wisely.
TRACE Monthly Volume Report for 2015
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available. FINRA will make two types of files available: (1) Daily Short Sale Volume Files and (2) Monthly Short Sale Transaction Files.
The FINRA Board of Governors will consider the following rulemaking item at its February 2011 meeting. FINRA is publishing this information to provide additional transparency in the rulemaking process. After the February 3 meeting, FINRA will notify firms via email about the Board's action on this item and anticipated next steps, if any.
Third-Party Service Providers
The Board will
