The Neutral Corner - Volume 1—2022
<p>A person who processes agency transactions by communicating all orders to another firm, which then calls or electronically communicates with the contra-side of the transaction, is not involved in the execution of transactions for purposes of Rule 1032(f) and thus is not required to be Series 55 registered.<br/><br/></p>
NASDR has filed with the SEC proposed new Interpretive Material 2210-5 and conforming amendments to existing IM 2210-2 and Conduct Rule 2210 of the National Association of Securities Dealers, Inc., relating to the Presentation of Mutual Fund and Variable Contract Related Performance Information.
NASDR has filed with the SEC a proposed rule change to National Association of Securities Dealers, Inc. Rules 3010 and 3110 to postpone the effective date of recently-approved amendments to these rules. The amendments allow firms to develop flexible procedure for the review of
Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)
I dont believe these proposed rules are to the benefit of the average or beginning investor. These would restrict the ability to invest fairly to many.
Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to postpone until February 2, 2015, the implementation date of the requirement that alternative trading systems ("ATSs") use unique market participant identifiers ("MPIDs") when reporting
November 2012 Supplement to the Options Disclosure Document
Hello Please do not restrict trading in these etfs. All rules and regulations are quite clear in terms of risks. Amar
