The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting recent updates to the National Institute of Standards and Technology (NIST) Cybersecurity Framework (CSF) 2.0, which is a resource designed to help organizations manage and reduce cybersecurity risks, regardless of their degree of cybersecurity sophistication.
Proposed Rule Change to Adopt FINRA Rules Regarding Communications with the Public in the Consolidated FINRA Rulebook
#22-08 is an abomination to the powerless who've been playing Fairly by the same rules we had no hand in devoping in the first place. Please dont confirm, whats been suspected as a fixed game already, I reject #22-08 an you should too! Thank you!
<p>A member that is an investment adviser may pay a non-member certain fees and not violate Rule 2420 if the fees paid to the non-member (a) strictly follow the requirements of Rule 206(4)-3 under the Investment Adviser's Act of 1940; and (b) are paid from fees and other income that the member has received in its capacity as an investment advisor.</p>
INFORMATIONAL
Single Arbitrator Pilot Program
Effective Date: May 15, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Arbitration
Direct Communication with Single Arbitrator
Neutral List Selection System
Reduced Hearing Session Fees
Single Arbitration Pilot
Executive Summary
On February 15, 2000,1 the
Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list. Please refer to Regulatory Notice 17-30, FINRA Rule 1220 and, regarding retired exam categories, NASD Rule 1032 for further details.
Series 6 - Investment Company Products/Variable Contracts Limited Representative
GUIDANCE
Portfolio Margin Program
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Margin
Operations
Senior Management
Margin Requirements
Portfolio Margin
Rule 2520
Rule 2860
Executive Summary
On February 12, 2007, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule change to amend
Proposed Rule Change to Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities that are Part of a Distribution and to Transfers of Equity Securities to Create or Redeem Instruments such as ADRs and ETFs
The investment environment became very difficult because it could not keep inflation under control and because of all government spending and the war they created lately people are losing all their savings in the market It is not time for changing rules until the government correct the mess it created
Please stop doing this. You are infantalizing us with these rules, and only making it harder for the average person to participate in the market. The SEC only diminishes their credibility by pursuing arbitrary regulations on individual investors while shrugging their shoulders at the systemic risk posed by market makers.
