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Rule Modernization Project
Response Period Expires on: March 1, 2002
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The Securities and Exchange Commission (SEC) recently issued an investor alert listing some of the risks associated with using credit cards to buy investments or to fund an investment account.
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Executive Summary
INFORMATIONAL
Notices to Members
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Notices to Members
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1999. Copies are available for $25 per
Activities requiring registration as an Equity Trader.<br/>
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
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An Asset-Backed Security (ABS) offers returns based on the repayment of debt owed by a pool of consumers. ABS data is collected through TRACE (Trade Reporting And Compliance Engine) and compiled with data from multiple sources, including but not limited to Refinitiv, S&P, Moody’s, and Black Knight Technologies.
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Definition
Why we share this
This Report addresses several regulatory key topics for each of the four categories: (1) Firm Operations; (2) Communications and Sales; (3) Market Integrity; and (4) Financial Management. As described further in the “How to Use This Report” section below, the importance and relevance of the considerations, findings and effective practices in each of these areas will vary for each member firm.
In
Service members have access to one of the lowest-cost ways to save for retirement.
