INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a
Request for Exemption from the Provisions of NASD Conduct Rule 2710
Summary
Many investment companies provide sales charge discounts and waivers on their products for customers in certain circumstances described in their product offering documents (e.g., prospectuses or statements of additional information). These include volume-based discounts, such as breakpoints and waivers, on mutual fund exchanges. Failure to apply these discounts or waivers correctly may
Lowering the Pattern Day Trader (PDT) minimum threshold from $25,000 to $2,000 would create a more inclusive and equitable trading environment, enabling retail investors with smaller accounts to participate in day trading without unnecessary financial barriers. The current $25,000 requirement disproportionately favors wealthy individuals and institutions, effectively excluding everyday traders
I oppose Rule 3290. It is serious over reach into both the professional and personal lives of Financial Advisors. As I read elsewhere, this is akin to not allowing Real Estate Agents and there families from owning a home. Do not pass this rule!
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicate
Executive Summary
The NASD requests comment on proposed amendments to the Free-Riding and Withholding Interpretation under Article III, Section 1 of the Rules of Fair Practice. These amendments would change a number of the Interpretation's provisions. The complete text of the
Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
Here in USA we believe in freedom, and that it bears responsibility for your choices, including the potential loss of invested principal. While i'm not really concerned about a knowledge test (which i find tho useless, easy to cheat on and just another taxpayer and investor added cost), brokerage approval or certifying reading the materials, as we do believe education is important before
Notice of FINRA District Committee Election and Ballots
Regarding Notice #22-08. As an investor I responsibly use leveraged ETFs as an investment strategy balancing different asset classes for long term growth. I'm well aware of the large fluctuations and it's a non-issue because I'm educated on the way the ETF works. It would be highly restrictive for the SEC or Finra to remove an option that individuals can and do use
