FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Dear FINRA,
It is heart-breaking to hear that you are considering to restrict retail investors to trade leveraged ETFs. I strongly object any limitation that might be applied on trading leverage ETFs.
It is my personal right to use the financial instrument that I choose to invest my own money. The leverage should be available to all of the public, not just the rich and privileged. Any restriction
Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
SR-FINRA-2008-063 - Proposed Rule Change to Adopt Rule 12805 of the NASD Code of Arbitration Procedure for Customer Disputes and Rule 13805 of the NASD Code of Arbitration Procedure for Industry Disputes as FINRA Rules into a Consolidated Rulebook
INFORMATIONAL
Anti-Money Laundering CompliancePrograms
Effective date: December 31, 2002
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Executive Summary
NASD has adopted amendments to NASD Rule 3011 (Anti-Money Laundering Compliance Program) to require each member to provide to
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The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1997. Duplicate copies are available for $
Comment Period Expires: October 15, 1997
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NASD Regulation, Inc. (NASD RegulationSM) requests comment on appropriate regulation regarding the participation by members and their associated persons in
INFORMATIONAL
Amendments to NASD Rules Regarding the Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties
Effective Date: December 1, 2003
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Rule 3130
Rule 3131
Rule 9160
Rule 9400 Series
Net Capital
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INFORMATIONAL
Anti-Money Laundering
Executive Summary
This is to inform members1 that the Financial Crimes Enforcement Network (FinCEN) has issued a final rule imposing a special measure,2 effective April 18, 2007, against Banco Delta Asia SARL, including its subsidiaries Delta
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
Although it appears at this writing that the provisions under TEFRA with respect to withholding on dividends and interest will be repealed, members should be aware that other provisions of the Act - primarily the expanded reporting requirements - are still effective for transactions occurring
