ACTION REQUIRED
Broker-Dealer and Investment Adviser Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
IARDSM
Maintenance Fees
Renewals
Registration
Web CRD®
Executive Summary
The 2007 NASD Registration Renewal
ACTION REQUIRED
Volume-Weighted Average Price Transactions
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KEY TOPICS
Capital Markets
Executive Representatives
Legal & Compliance
Operations
Senior Management
Trading
Conflicts of Interest
Order Handling
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Executive Summary
NASD reminds members that when executing a volume-
My investment experience has been limited to the last few years, so I can’t pretend to have a comprehensive understanding of every law, rule, guideline, parameter, and standard operating procedure that financial institutions operate in accordance with. However, I can say with certainty that neither do major financial institutions responsible for the behavior of our markets. If the role of a
As a small retail investor, I use and have been using for the past 12 years, several complex products to enhance my returns in order to save enough for my retirement. I object to any rules that would deny my access to these products as it would put my retirement goals in jeopardy. ESPECIALLY any cool down periods that may be imposed and possibly lock in temporary losses. That being said I am
2011 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
ACTION REQUIREDBroker-Dealer and Investment Adviser RenewalsPayment Deadline: December 6, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementRegistered Representative, RegistrationIARDSMMaintenance FeesRegistrationRenewalsWeb CRD®Executive SummaryThe 2005 NASD Broker/Dealer and Investment Adviser Registration Renewal Program will begin on
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.
This Report highlights FINRA’s regulatory operations programs’ expanded focus on ongoing key areas of risk to investors and the markets:
Reg BI and Form CRS
Regulation Best Interest (Reg BI) and Form CRS remain areas of focus across FINRA’s regulatory operations programs. FINRA’s reviews of member firms’ adherence to their obligations pursuant to Reg BI and Form CRS address a number of areas,
I believe it's each investors responsibility to understand risk of their investment and each institution to provide investment vehicle. It's regulators' responsibility to ensure investment institutions to disclose risk information properly so that individual investors understand the risk they are take. But it's wrong for the government to put regulation in
As a single senior woman investor, I want my voice to be heard. This is my life savings we are talking about, as slim as they may be compared to wealthy investors. 1. Leveraged and inverse funds are mandatory to me especially in this declining market, as they act like a hedge to protect my investments. 2. I have a financial advisor because I am not astute in financial matters. Although I
