The availability of complex products and options can potentially expand the investment opportunities for retail investors and, if properly understood, offer favorable investment outcomes (e.g., enhancing returns, limiting losses or improving diversification). However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2012
Comment Period Expires October 17, 1994
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Executive Summary
The NASD® requests comment on a proposal to require the use of Standard Transferor and Transferee Applications for Transfer of Direct Participation Programs (DPP) Securities, Standard Registration Confirmation Form,
SEC Approves Amendments to FINRA Rule 8210 to Require Encryption of Information Provided Via Portable Media Device
New Rate for Fees Paid Under Section 31 of the Exchange Act
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
(a) Content and Timing of Requests
A Respondent who requests that FINRA invoke Rule 8210 to compel the production of Documents or testimony at the hearing shall do so in writing and serve copies on all Parties. Such request shall: be submitted to the Hearing Officer no later than 21 days before the scheduled hearing date; describe with specificity the Documents, the category or type of
Read CEO Robert Cook’s email to firms previewing topics the Board is scheduled to discuss at the September 2024 FINRA Board of Governors Meeting.
New Rate for Fees Paid Under Section 31 of the Exchange Act
Smishing is a tactic in which scammers send unsolicited messages to targets over short message service (SMS), or text messages. A newer development with this type of fraud involves scammers requesting that targets respond to messages to get around protections that automatically deactivate hyperlinks in messages received from unknown numbers.
