I opposed this rule. I want freedom to be able to invest. Leverage funds are important to my strategy. I should have the rights to invest in these funds without any special process
FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
Alternative Display Facility
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal & Compliance
Operations
Trading
Market Making
Executive Summary
On July 24, 2002, the Securities and Exchange Commission (SEC)
INFORMATIONAL
Corporate Debt Securities Transactions Subject to Reporting and Dissemination
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Foreign Deferrals
In-Firm
Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed ABS Traded in Specified Pool Transactions
Joint sales efforts by member firm and non-member real estate firm of private placements in real estate condominium complexes raise the question of whether the realtors or persons acting on behalf of the issuer would be required to register as broker/dealers.
FINRA Revises the Series 7, 17, 37 and 38 Examination Programs
(a) No member that is promoting a day-trading strategy, directly or indirectly, shall open an account for or on behalf of a non-institutional customer, unless, prior to opening the account, the member has furnished to the customer the risk disclosure statement set forth in Rule 2270 and has:
(1) approved the customer's account for a day-trading strategy in accordance with the
TO: All NASD Members
The Association has been, receiving an increased number of inquiries regarding the application of Article III, Section 26 of the Rules of Fair Practice to certain compensation arrangements, and proposed arrangements, between principal underwriters and dealers in open-end management investment company shares (mutual funds) and unit investment trusts. These inquiries are
(a) The term "Clearing Broker-Dealer" or "Clearing Broker" shall mean the member firm that has been identified in the System as principal for clearing and settling a trade, whether for its own account or for a correspondent firm.
(b) The term "Correspondent Executing Broker-Dealer" or "Correspondent Executing Broker" shall mean the member firm that has
