Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to amend FINRA rules to address duplicative requirements.
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools)
Application of Rules on Communications With the Public and Institutional Sales Material and Correspondence to Certain Free Writing Prospectuses
INFORMATIONAL
Interfering With Customer Account Transfers
Implementation Date: February 11, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Account Transfers
Employment Disputes
Injunctions
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) has adopted Interpretive
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision).
Proposed Rule Change to Amend the By-Laws of FINRA Regulation to Realign the Representation of Industry Members on the National Adjudicatory Council to Follow More Closely the Categories of Industry Representation on the FINRA Board
Hello, I will keep this as respectful as possible, and please understand, many of us retail investors are feeling EXTREMELY frustrated with blatant fraud in the marketplace. I'll bullet out a few things I'm shocked by which indicate what is hard not to translate as intentional lack of controls and transparency. I can bucket my requests into two simple terms: 1.) Controls and 2.)
