The MSRB Due Diligence Report Card is a monthly status report to help firms monitor their issuances being brought to market in order to support firm's due diligence efforts. The report shows how many total issuances have been brought to market and which of those had issuers with previous issuances in the market that are lacking current audited financial filings (LCF) on EMMA. &
Notice of SFAB Election and Ballots
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceRegistrationTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Article IV, Section 1 of the NASD Rules of Fair Practice. The amendment to Section 1 would exclude from the rule
To prepare for a life of moves, you need to know what to expect both before and after a move.
Use FINRA’s Tools and Calculators to help you make informed financial decisions based on your own personal circumstances and financial needs.
The extremely wealthy have all sorts of extra tools and methods to protect their wealth. I know, because I have worked most of my life for hedge funds and family offices. For the more ordinary individual, one of the only practical ways to protect their equity investments from economic turmoil is through inverse funds and leveraged funds. Please, please do not do anything to limits these important
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
Proposed Rule Change to Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook
