Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary supplementary material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023) under FINRA Rule 3110 (Supervision) to include calendar year 2024.
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
Firms that are members of FINRA as of the close of business on Friday, October 18, 2019, are eligible to vote for the contested seats on the Regional Committee corresponding to the district in which
A member firm may include related performance information in institutional communications concerning continuously offered closed-end funds, subject to the stated conditions discussed in the letter.
Hello whoever is reading this, hope your day is going well. I am a young investor with a few years experience actively trading and learning about financial products. Even though you're looking at making changes to how a wide range of complex derivate products are regulated, but I would like to talk specifically on leveraged products as they are what I am most familiar with. I'll refer
In most cases, you must start taking required minimum distributions (RMDs) from your retirement accounts each year once you reach age 73. IRS rules require that you take withdrawals from individual retirement accounts (IRAs) and employer-sponsored retirement plans to avoid costly penalties. Be sure you understand the requirements about RMD.
Ms. Marcia E. Asquith, Executive Vice President Financial Industry Regulatory Authority, Inc. 1735 K Street, NW Washington, DC 20006-1500 Re: FINRA Regulatory Notice 22-08 (the “Notice”) Dear Ms. Asquith: Defiance ETFS, LLC (“Defiance”), appreciates the opportunity to comment on the Notice. We commend the Financial Industry Regulatory Authority (“FINRA”) for reminding members of their current
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Member SupervisionCollege of Examinations and College of Risk MonitoringThe College of Examinations (COE) and College of Risk Monitoring (CORM) are elite training programs kicking off in July. A group of entry-level employees will start their careers in Member Supervision through a multi-week training and networking extravaganza.The COE and
Upcoming FINRA Board of Governors Election
To prepare for a life of moves, you need to know what to expect both before and after a move.
The honors program is a two-year rotational program open to recent law school graduates and attorneys concluding clerkships. These full-time positions offer the opportunity to do sophisticated legal work to protect investors and the financial markets.
