Regulatory Obligations
Exchange Act Rule 15c3-3 (Customer Protection Rule) requires firms that maintain custody of customer securities and safeguard customer cash to segregate these assets from the firm’s proprietary business.
Noteworthy Examination Findings
FINRA has continued to identify many of the same concerns noted in the Segregation of Client Assets section of the 2018 Report, including
Please implement these rules and reporting requirements. This will add clarity and transparency to the markets
Please do not change the rules regarding leverage and leveraged exchange traded funds. This would detrimentally affect my portfolio today and my ability to earn in the future.
Qualification Examinations Restructuring
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
FINRA Rule 8310
NASD Rule 1031
NASD Rule 1032
NASD Rule 1070
Suggested Routing
Compliance
Legal
Operations
Registration
Senior Management
Training
Key Topics
Central Registration
Comment Period Expires January 31, 1995
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperations
Executive Summary
At its November 1994 meeting, the NASD Board of Governors (Board) approved the issuance of a Notice to Members soliciting member comment on a proposed amendment to Article III of the Rules of Fair Practice. The proposed rule would require registered persons to
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicateTradingTraining
Executive Summary
The Securities and Exchange Commission (SEC) has approved an exception to SEC Rule 10b-6 (Rule 10b-6) and a new companion rule, Rule 10b-6A, under the Securities Exchange Act of 1934 to permit "passive market making" in certain distributions of
Comment Period Expires November 30, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicate
Executive Summary
The NASD is requesting comment on an amendment to its Corporate Financing Rule (the Rule) relating to rights of first refusal granted to underwriters and related persons in connection with the distribution of public offerings. The amendment
I don't believe there is any need to enhance current rules for "complex products" as I don't believe leveraged and inverse funds are complex. The information provided by brokerages are enough information.
I don't believe there is any need to enhance current rules for "complex products" as I don't believe leveraged and inverse funds are complex. The information provided by brokerages are enough information.
Hello! Im writing to you regarding your decision to regulate leveraged etfs. And possibly other investment options. I not regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. It seems the government allows rules for the rich. that are different from the rest of us. I
