I greatly oppose this new Rule. As a New investor the ability to pick securities is a privileges I have residing in the U.S. It is my responsibility to research what I am purchasing. Not FINRA's to tell me what I can and cannot purchase.
<p>Separate sales contests are permissible under NASD Rule 2820(g) for group variable contracts.</p>
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to (1) delete the Nasdaq By-Laws and amend the Plan of Allocation and Delegation of Functions by NASD to Subsidiaries ("Delegation Plan"), the By-Laws of NASD, NASD Regulation and NASD Dispute Resolution, and NASD rules to reflect The Nasdaq Stock Market Inc.
Summary
FINRA has amended its Codes of Arbitration Procedure for Customer and Industry Disputes (Codes) to apply minimum fees to requests for expungement of customer dispute information, whether the request is made as part of the customer arbitration or the associated person files an expungement request in a separate arbitration (straight-in request).1 The amendments also apply a minimum process
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Operations
Registration
Senior Management
Continuing Education
IM-1000-2
Executive Summary
NASD Regulation, Inc. (NASD Regulation) has adopted amendments to National Association of Securities Dealers, Inc. (NASD®) IM-1000-2 to codify the staff's
Trade date is the day your order to buy or sell a security is executed; settlement date is the day on which funds and the securities must be delivered. Beginning on May 28, 2024, the new standard for settlement will become the next business day after a trade, or T+1.
Please implement the rules and enforce them. The public deserves a fair and level playing field. Currently that is not the case. Thank you in advance.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Representative - Equity Trader (Series 55) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better reflect the duties
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Principal - Direct Participation Programs (Series 39) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination and to better reflect
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Principal - Introducing Broker-Dealer Financial and Operations (Series 28) examination program. The proposed revisions update the material to reflect changes to the laws, rules and regulations covered by the examination
