In addition to checking and savings accounts, your local bank may offer you investment accounts that you can use to save for college or retirement, insurance coverage for your home or your life, or annuities to help you generate retirement income.
NASDR has filed with the SEC proposed new Interpretive Material 2210-5 and conforming amendments to existing IM 2210-2 and Conduct Rule 2210 of the National Association of Securities Dealers, Inc., relating to the Presentation of Mutual Fund and Variable Contract Related Performance Information.
I strongly oppose the proposed legislation to limit individuals from investing in so called complex securities. I have the right to choose how I spend my time and money and I disagree with efforts to ban me from products I have already purchased after significant research and time. I buy leveraged funds as a way to mitigate my overall risk while pursuing higher returns. Leveraged funds allow me
FINRA's Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced advertising professionals. Industry and Regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulation. This year’s conference also includes opportunities to networking with industry peers and meet one-on-
Public GovernorFormer CEO, CalSTRSGovernor Since 2018Committees: Compensation & Human Capital Committee, Conflicts Committee, Finance, Operations & Technology Committee, Investment Committee (Chair), Regulatory Policy CommitteeProfessional ExperienceCEO, CalSTRS (2002 – 2021)Vice President, Great-West Life & Annuity Insurance Company (2000 – 2002)Colorado Public Employees
I M P O R T A N T
Officers * Partners * Proprietors
TO: Members of the National Association of Securities Dealers, Inc. and Other Interested Persons
COMMENT PERIOD CLOSES ON: January 20, 1984
The National Association of Securities Dealers, Inc. ("Association") is publishing for comment a proposed amendment to Schedule C to the By-Laws. The amendment was approved by the Board of
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign
I have several of the funds and investment vehicles you are talking about regulating in my portfolio. As an average citizen, I am completely capable of researching and understanding risks and rewards of different investment products. I do not appreciate being called unworthy of investing in these products. Wall Street is already rigged toward the privileged and wealthy. These types of funds are
Older Americans are frequently targeted by financial exploitation efforts, making investor protection and education of particular importance to this population. FINRA offers several services, including a dedicated helpline, that can help senior investors with their concerns.
<p align="left">Applicability of Rule 2820(g) to payments to an associated person from an issuer's deferred compensation plan.</p>
