My financial advisors tell me that these instruments are a necessary part of my financial program. Please do NOT eliminate these important investment instruments. Jeannette
Investor Contact Information
INFORMATIONAL
Trading — Extended Hours
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disclosure
Trading, Extended Hours
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds members of their obligation under just and equitable principles of trade and the advertising rule to disclose to customers the material risks of extended
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These reports and report cards display statistics related to firms' compliance with Municipal Securities Rulemaking Board rules and other requirements related to municipal securities and the MSRB's Electronic Municipal Market Access website.
MSRB Markup/Markdown Analysis Report
The report is a monthly compliance tool that provides an analysis of the markup
Industry Governor (Large Firm Representative)Chairman, and Former President and Chief Executive Officer, Janney Montgomery Scott LLCGovernor Since 2018Committees: Conflicts Committee, Executive Committee, Finance, Operations & Technology Committee (Chair), Investment Committee, Regulatory Oversight Committee, Regulatory Policy CommitteeProfessional ExperienceJanney Montgomery Scott
Sec. 7.2 FINRA Dispute Resolution shall have power to purchase and maintain insurance on behalf of any person who is or was a Director, officer, committee member, employee, or agent of FINRA Dispute Resolution, or is or was serving at the request of FINRA Dispute Resolution as a director, officer, employee, or agent of another corporation, partnership, joint venture, trust,
Summary
FINRA has amended Rule 1240.01 (Eligibility of Other Persons to Participate in the Continuing Education Program Specified in Paragraph (c) of the Rule) to provide eligible individuals another opportunity to participate in the Maintaining Qualifications Program (MQP). This new enrollment period begins March 15, 2023, and will end on December 31, 2023.
Questions concerning this
FINRA Notice of Special Meeting of Small Firms and Proxy
Talking about money issues can be stressful. Talking about them while a service member is deployed to a remote location can be more so.
Effective Date: July 19, 1999
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Executive
