GUIDANCE
Anti-Money Laundering Compliance
Programs
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Anti-Money Laundering
Compliance Programs
IM-3011-1
IM-3011-2
Rule 3011
Executive Summary
On December 28, 2005, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 3011 and the adoption
of IM-3011-1 and IM-
Frequently asked questions related to OATS reporting requirements to OTC NMS Stocks.
The MSRB Due Diligence Report Card is a monthly status report to help firms monitor their issuances being brought to market in order to support firm's due diligence efforts. The report shows how many total issuances have been brought to market and which of those had issuers with previous issuances in the market that are lacking current audited financial filings (LCF) on EMMA. &
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to Article III, Section 27(g)(2) and a new Paragraph (g)(3) of the Rules of Fair Practice that would codify certain interpretations by the NASD
SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Legal & Compliance
Operations
Registration
Trading
Executive Summary
On March 6, 1998, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD® or Association) Rules 6950 through 6957 (Rules), which establish an Order Audit Trail SystemSM (
I would like to express my support for FINRA's continued actions to warn investors that they may be out of their depth.
I think that such policies should be revised for the online era, however. Complex products should have category IDs or acronyms associated with their structure, and online sites for the products should be required to list the acronyms corresponding to the product. There
Summary
The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices. FINRA is committed to providing guidance, updates and other information to help firms and stakeholders stay informed about the latest regulatory
Thank you for allowing the opportunity to post feedback and make recommendations to make the system fair for all traders. I feel that short interest should be reported intraday. If a stock price can be updated within milliseconds then this should be possible too. I also feel that large institutions that have over 100,000 of any stock should have to report their short positions pre and post market
I have been using index Inverse Leveraged ETFs (I-LETFs) as a portfolio hedge, given that my single stock positions can be volatile, and that my portfolio is not correlated with the indices I inverse.
I use I-LETFs in my active trading account, not in my long term investment account.
The I-LETFs are usually under 10% of my portfolio--I rebalance my I-LETF exposure almost daily, to counteract the
