SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceMunicipalSyndicateTraining
Executive Summary
Effective March 9, 1994, the Securities and Exchange Commission (SEC) published an interpretive statement regarding the disclosure obligations of participants in the municipal securities markets. The SEC is seeking comment on the issues discussed in its statement. In a
SUGGESTED ROUTING
Senior Management
Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Training
Executive Summary
The Securities and Exchange Commission (SEC) recently adopted amendments to Rule 10b-10 that require the disclosure of additional information on customer confirmations. The SEC deferred
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
BACKGROUND
On April 18, 1983, the Securities and Exchange Commission issued Release No. 34-19687 announcing the adoption of changes to Rule 10b-10 under the Securities Exchange Act of 1934 (17 CFR 240 lOb-10), the "securities confirmation rule," (the "Rule"). Rule 10b-10 requires broker-dealers to send
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6152 (Disclosure of Order Execution Information for NMS Stocks) to require members to submit their order execution reports for NMS stocks to FINRA for publication on the FINRA website.
Re: FINRA Proposed Rule 3290Proposed Rule 3290 does not address the transition from Rule 3270 to the proposed rule. Specifically, to what extent and for how long would a previous notification and approval of an outside business activity under Rule 3270 satisfy the requirements of the proposed rule? Previous notifications and approvals under Rule 3270 should continue to be
As an owner of a Registered Investment Advisory (RIA) firm having registered representatives at a member firm that is independent and not affiliated in any manner with my RIA firm, I strongly object to the newly proposed Rule 3290 in Regulatory Notice 25-05.This proposed Rule would subject certain independent RIA/IAs to an additional layer of corporate and regulatory oversight that doesn’t exist
Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA1735 K StreetWashington, DC 20006Re: Request for Comment on Regulatory Notice 25-05Dear Ms. Mitchell,As an owner of a Registered Investment Advisory (RIA) firm having registered representatives at a member firm that is independent and not affiliated in any manner with my RIA firm, I strongly object to the newly proposed Rule 3290
Dear Ms. Mitchell,As an owner of a Registered Investment Advisory (RIA) firm having registered representatives at a member firm that is independent and not affiliated in any manner with my RIA firm, I strongly object to the newly proposed Rule 3290 in Regulatory Notice 25-05.This proposed Rule would subject certain independent RIA/IAs to an additional layer of corporate and regulatory oversight
Ms. Jennifer Piorko Mitchell Office of the CorporateSecretary FINRA1735 K StreetWashington, DC 20006Re: Request for Comment on Regulatory Notice25-05Dear Ms. Mitchell,Asan owner of a Registered Investment Advisory (RIA) firm having registered representatives at a member firm that is independent and not affiliated in any manner with my RIA firm, I strongly object to the newly proposed Rule 3290 in
As the owner of a Registered Investment Advisory (RIA) firm and a registered representative of an affiliated FINRA member firm, I respectfully oppose proposed Rule 3290 in Regulatory Notice 25-05.The rule would inappropriately extend FINRA’s oversight to RIAs who are already regulated by the SEC and state authorities. It would also create a two-tier system—imposing additional compliance burdens
