SEC Approves Amendments to Require Firms to Report OTC Transactions in Equity Securities as Soon as Practicable, But No Later Than 10 Seconds, Following Execution
(a) Members shall make and preserve books and records as required under the FINRA rules, the Exchange Act and the applicable Exchange Act rules.
(b) Members shall preserve for a period of at least six years those FINRA books and records for which there is no specified period under the FINRA rules or applicable Exchange Act rules.
(c) All books and records required to be made pursuant to the
GUIDANCE
Annual Compliance Meetings
Effective Date: July 25, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Annual Compliance Meetings
Rule 3010
Executive Summary
On April 25, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rule 3010(a)(7
I do not support SEC Proposed Rule S7-24-15. I should have the right to determine what public investments are right for me without going thru a special process like passing a test. I am capable understanding the risks involved with these securities. Leverage and inverse funds are an important to my investment strategies. I use them to hedge and seek higher returns as a limited portion of my
This rule is so un-necessary. Leveraged and inverse funds are extremely important to my families investment strategy. I use hedges and stop losses and paid advice from investors with over 30 yrs experience to carefully manage these funds. These are a small but very important part of my portfolio and it makes no sense to have to pass a test to make these well thought out and previously successful
This really sounds like it will do nothing. This comment period is insulting, as if you don’t know what retail wants. Transparency and actually enforce the “rules” you have, which seem more like guidelines. Rule breakers make a billion and get fined a million, how does this help?
Violations That Generally Are Not Subject to Censure When Monetary Sanctions of $7,000 or Less Are Imposed
Quality of Markets Violations
• ACT Violations—FINRA Rules 7210A–7280A, 7310–7380 and 7110B–7170B
• Backing Away
• Best Execution and Interpositioning
• Confirmation of Transactions (SEC
SEC Approves Amendments to the Customer Code of Arbitration Procedure Regarding Panel Selection in Cases with Three Arbitrators
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education Testing/Qualifications
Legal & Compliance
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their
Private Placements and Public Offerings Subject to a Contingency
