SEC Approves Amendments to the Trading Activity Fee and FINRA Announces Publication of Frequently Asked Questions
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
The Frequently Asked Questions below are taken directly from the Securities and Exchange Commission’s Regulation Best Interest and Form CRS FAQ pages. The below are FINRA’s best attempt to highlight the latest SEC FAQs, but additional FAQs may have been published that are not posted on this page. For the latest FAQs on Reg BI and Form CRS, please visit the SEC’s website.SEC Frequently Asked
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to make changes to certain provisions relating to arbitrator
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
You need to place your attention towards all of the congressmen who have access to insider trading they all leave office as millionaires...so go get them to make a fair playing field and lay off the American investor who knows the risks....so leave us alone and allow the market to have both ProShares and Ishares without you sticking your noses in and allow our marketplace to remain an open
Treatment of Commodity Pool Trail Commissions under Rule 2810 (Direct Participation Programs Rule); Effective Date: October 12, 2004
GUIDANCE
Correspondence
SUGGESTED ROUTING
KEY TOPICS
Advertising
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Correspondence
Rule 2211
Executive Summary
On July 26, 2006, the Securities and Exchange Commission (SEC)
approved amendments to NASD Rule 2211, which governs NASD
member institutional sales material and
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
BACKGROUND AND EXPLANATION
Part VI, Sec. 7(b) of Schedule D to the NASD By-Laws permits excused withdrawals based on demonstrated legal or regulatory requirements when supported by appropriate documentation.
In order
<p>Applicability of NASD Rules to registered representatives of subsidiary bank of member broker/dealer.<br/></p>
