FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss Regulatory Notice 24-02 which includes Residential Supervisory Location and the Remote Inspections Pilot ProgramSpeakers:Robert Cook, FINRA President and Chief Executive OfficerEric Chandler, Vice President, Member SupervisionKosha Dalal, Vice President
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting
Last Voting Date: May 31, 1994
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Executive Summary
The NASD invites members to vote on proposed amendments to Article III of the NASD By-Laws and to Part I of Schedule C to the By-Laws to require that initial application for NASD membership be reviewed by a Subcommittee designated by the District Committee, with right of appeal
JOINT REQUEST FOR COMMENT
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Rule 2210 (Communications with the Public)
Rule 2211 (Institutional Sales Material and Correspondence)
Rule 3010 (Supervision) Supervision
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Agenda
Dear Officer,
As a retail individual investor I found that the leveraged ETFs enhances our ability to have more returns with acceptable risk. Although it can lead to losses in downturns and choppy market conditions, overall I find it a useful tool for parts of the portfolio. I request you to not take them away from us as it will lead to more asymmetrical privileges for people who already have
1. How do I submit form filings to Web CRD?
Upon completion of a filing...
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JUNE 23, 1986
The National Association of Securities Dealers, Inc. (NASD), is publishing for comments a proposed amendment to the Interpretation of the Board of Governors, Free-Riding and Withholding (Free-Riding Interpretation) 1/ that would provide members an alternative means of complying with the Interpretation for
Racquel Russell is Senior Vice President and Director of Capital Markets in FINRA’s Office of General Counsel (OGC). In this role, Ms. Russell oversees the Capital Markets Office as it develops new policy initiatives, provides counsel to the Department of Market Regulation and Transparency Services, and supports the fixed income examinations of the Member Supervision Department. She also provides
FINRA Changes the Effective Date of the Minimum Quotation Size Pilot for OTC Equity Securities in FINRA Rule 6433 from November 5, 2012, to November 12, 2012
