I believe that most people who do choose to invest in these funds are aware of the risks and do their own homework before they start investing. While I do believe that offering education on the risks, as well as risk mitigation strategies, would be beneficial for traders, I do not believe that extra layers of bureaucracy and testing will create better or safer traders, and will simply reduce the
INFORMATIONAL
Bond Mutual Fund Volatility Ratings
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Bond Mutual Fund Volatility Ratings
NASD IM-2210-5
NASD Rule 2210
Executive Summary
On
INFORMATIONAL
Release of Disciplinary Information
Implementation Date: September 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
IM-8310-2
Release of Disciplinary Information to the Public
Executive Summary
NASD has adopted amendments to NASD Interpretative Material 8310-2 (IM-8310-2), concerning the
Exemptive relief is granted based on representations that: the MFP/MAP made the contribution during a period of retirement prior to his employment as an MFP/MAP; the Firm discovered the contribution through its pre-employment due diligence process; the MFP/MAP requested a refund of the contribution; the Firm hired the MFP/MAP for reasons unrelated to the contribution; the Firm has a long-standing relationship with the City ; the contribution was not related to any business with the City; and the MFP/MAP will be prohibited from involvement in municipal securities and municipal advisory business with the City for a period of time.
On this episode, we hear from members of both the Vulnerable Adults and Seniors (VAST) Intake and Investigations teams to hear how the groups work with individual investors, firms, states and other regulators to prevent and detect financial exploitation of senior and other vulnerable investors.
An exemption is granted based on the following: (1) the contribution was made more than one year after Name transferred from the Firm Municipal Finance Department to another department; (2) from his/her transfer on May 1, 2000, to the present, Name continues to be designated an MFP only because of the two year "lookback" provision; (3) Name had no personal involvement in Firm's municipal securities activities with City, including the pre-existing and established selection of Firm as one of several underwriters; and (4) the contribution, which was returned, was made to the campaign of a candidate for public office who is not now an issuer official, and who had no apparent opportunity to influence the award of municipal securities business.
INFORMATIONAL
NAC Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the National Adjudicatory Council (NAC) for the West Region and New York Region. The nominees, nominated for two-year terms beginning in
On This PageSection 100: GeneralSection 200: Equity and OptionsSection 300: DebtSection 400: FuturesGeneralQ100.1: What is the Trading Activity Fee?A100.1: The Trading Activity Fee, or TAF, is one of the member regulatory fees FINRA assesses to recover the costs the supervising and regulating firms. This includes costs associated with performing examinations, financial
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Department of the Treasury is soliciting comments on proposed amendments to the implementing regulations of the Bank Secrecy Act. Also known as the Currency and Foreign Transactions Reporting Act of 1970, these regulations govern the payment, receipt or transfer of currency or other monetary instruments; the export or import
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) is working to help make member firms aware of guidelines to begin trading in
