(a) Purposes
The purposes of a pre-hearing conference include, but are not limited to:
(1) expediting the disposition of the proceeding;
(2) establishing procedures to manage the proceeding efficiently; and
(3) improving the quality of the hearing through more thorough preparation.
(b) Procedure
On his or her own motion or at the request of a Party, the Hearing Officer
This rule is no longer applicable. NASD Rule 2510 has been superseded by FINRA Rule 3260. Please consult the appropriate FINRA Rule.
(a) Excessive Transactions
No member shall effect with or for any customer's account in respect to which such member or his agent or employee is vested with any discretionary power any transactions of purchase or sale which are excessive in size or frequency
Funds tracking non-traditional indexes can provide investors with an expanded set of investment opportunities beyond those offered by traditional indexes. But they can also create additional complexities and risks to consider.
Proposed Rule Change to Revise the Series 6 Examination Program
Exemptive relief is granted based on representations that: the MFP/MAP made the contribution during a period of retirement prior to his employment as an MFP/MAP; the Firm discovered the contribution through its pre-employment due diligence process; the MFP/MAP requested a refund of the contribution; the Firm hired the MFP/MAP for reasons unrelated to the contribution; the Firm has a long-standing relationship with the City ; the contribution was not related to any business with the City; and the MFP/MAP will be prohibited from involvement in municipal securities and municipal advisory business with the City for a period of time.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend Interpretive Material 2210-5 to extend the expiration date of IM-2210-5 from August 31, 2001 to August 31, 2003, and to clarify that the filing requirements and review procedures applicable to sales literature that includes bond mutual fund volatility ratings, as set forth in NASD Rule 2210(c)(3), also will expire on
Dear FINRA Members, As well as you may know, in Argentina we have serious limitations or restrictions to manage our own surplus money. And that's the reason why I thought your country was a bit different from ours, because you have the freedom (as in many other things) to invest in whatever you want to. Now, reading about all these "rules" "tests" , etc only brings me bad
Please allow individual plans to formulate their own investing rules without the government adding new laws and restrictions. Risks of investing in cryptocurrency funds such as BITO are understandable by investors such as myself. There are many public funds that are of high risk that do not incur onerous investment restrictions.
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Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to Article III, Section 27(g)(2) and a new Paragraph (g)(3) of the Rules of Fair Practice that would codify certain interpretations by the NASD
I cant believe you would attempt to limit my ability to invest in publically traded funds while allowing the continued manipulation of the market by the computer traded algorithimic front end trading which disadvantages the typical person investing and drives the market incessantly in one direction or the other from pure momentum. Why not reinstate some of the old rules such as the uptick rule
