Use Of Alias Prohibited During Cold Calling
It has come to the attention of NASD Regulation, Inc., that some registered representatives may be using aliases when making cold calls. Such activity violates National Association of Securities Dealers, Inc. (NASD®) Rule 2211 and the Federal Communications Commission's telephone solicitation rules, 47 C.F.R. 64.1200(e)(iv) (1997)1, which require
FINRA member firms should be aware of a technique threat actors use to avoid network defenders detecting the required communications of malware. On April 3, 2025, the Cybersecurity and Infrastructure Security Agency (CISA), National Security Agency (NSA), Federal Bureau of Investigation (FBI), Australian Signals Directorate’s Australian Cyber Security Centre (ASD’s ACSC), Canadian Centre for Cyber Security (CCCS) and New Zealand National Cyber Security Centre (NCSC-NZ) issued a joint cybersecurity advisory (CSA) to warn organizations of the ongoing threat of one such technique: fast flux.
<p align="left">NASD Rule 3060(a) does not apply to reimbursements by a registered representative of his or her client's expenses when the reimbursement is unrelated to the business of the client's employer.<br />
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I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
BACKGROUND
On April 18, 1983, the Securities and Exchange Commission issued Release No. 34-19687 announcing the adoption of changes to Rule 10b-10 under the Securities Exchange Act of 1934 (17 CFR 240 lOb-10), the "securities confirmation rule," (the "Rule"). Rule 10b-10 requires broker-dealers to send
FINRA’s Member Regulation department is conducting a review with respect to products linked to the CBOE’s Volatility Index (VIX). The review will focus on the supervisory processes followed by firms to identify and mitigate sales practice risks associated with recommendations to non-institutional purchasers of VIX-linked products.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6152 (Disclosure of Order Execution Information for NMS Stocks) to require members to submit their order execution reports for NMS stocks to FINRA for publication on the FINRA website.
As prepared for delivery.
Good morning. First let me thank Martin Baily for the invitation to talk with you this morning. Martin, I also want to commend you for the work you do here in Washington to bring about a greater understanding of business and the economy and, specifically of financial regulation.
It’s a pleasure to be here today to participate in this important discussion on the role of
The level of control over how the public is allowed to invest should NOT prevent us from being able to exercise our right to invest in opportunities which we may recognize that will enable us to profit from leveraging. The market is already designed to make it almost impossible for the small time players to get ahead, and it is imperative that we be allowed to invest in vehicles which may give
This proposed regulation only inhibits free markets. Short selling or inverse ETFs were banned back in the 2008 collapse and simply equated to a rigged market. Why don't you regulate the purchase of long position shares when the market goes up too quickly? The only throttle considered is on the down side, which could be used to hedge other positions and/or anticipate and profit from
I am an individual investor who utilizes leveraged ETFs to get leverage with investing. For the small portion of my portfolio that I dedicate to leveraged ETFs, they are an excellent source of taking on a little more risk with a small amount of capital. As long as people are aware of the potential risks with leveraged ETFs like huge drawdowns and fund closures, I think there shouldn't be
