Technology has made stock trading more accessible to retail investors in a variety of ways, including the increased availability of extended-hours trading. But while placing an order to trade outside of regular trading hours might seem simple, this market can be complex and risky.
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Senior ManagementLegal & ComplianceMutual Fund*These are suggested departments only. Others may be appropriate for your firm.
The NASD has recently received information about the increasing use of so-called "negative response" letters. These letters are used to facilitate members' recommendations that customers switch from one mutual fund to
Summary
FINRA has released an updated Security Futures Risk Disclosure Statement (2020 Statement) to replace the one that was last updated in 2018, and a supplement (2020 Supplement) that reflects the disclosure updates described herein.1 The 2020 Statement incorporates all cumulative changes made to date, which include, among others, conforming changes for updates to the market-wide circuit
INFORMATIONAL
OTCBB Trading Halts
Effective Date: June 26, 2000
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KEY TOPICS
Legal & Compliance
Operations
Trading & Market Making
Training
OTC Bulletin Board
Trading Halts
Executive Summary
On May 22, 2000, the Securities and Exchange Commission (SEC) approved a rule change that allows The Nasdaq Stock Market, Inc. (The Nasdaq Stock
January 2024BackgroundIn November 2022, FINRA launched a targeted exam to review the practices of certain member firms that actively communicate with retail customers concerning crypto assets and crypto asset-related services (Crypto Assets).1 FINRA reviewed retail communications received from these firms for compliance with FINRA Rule 2210 (Communications with the Public) which
FAQ regarding Reporting of Mortgage and Asset Backed Securities (Securitized Products)
REQUEST FOR COMMENT
Proposed Amendments to Rule 2720
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KEY TOPICS
Corporate Financing
Legal & Compliance
Senior Management
Trading & Market Making
Affiliate
Conflicts of Interest
Equity & Debt Offerings
Investment Banking
Qualified Independent Underwriter
Rule 2710
Rule 2720
Underwriting Compensation
Executive Summary
NASD is issuing
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Senior ManagementLegal & ComplianceOperationsRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1990-91 NASD broker-dealer and agent registration renewal cycle begins its second phase this month. The NASD is publishing information in this notice to assist members in reviewing, reconciling, and
FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
