The FINRA Board of Governors will hold its first meeting of the year next week. As the capital markets landscape continues to evolve through new products, new technologies and new services being offered to investors, the Board will discuss how FINRA should evolve as well to support innovative and vibrant markets and capital formation while protecting investors and safeguarding market integrity.
SUGGESTED ROUTING
Senior ManagementAdvertisingInternal AuditLegal & ComplianceMutual Fund
Executive Summary
On July 12, 1994, the Securities and Exchange Commission (SEC) approved amendments adopting Guidelines to Article III, Section 35 of the NASD Rules of Fair Practice that prohibit members from using investment company rankings in advertisements and sales literature unless
Greetings, I eagerly support FINRA's step toward a transparent system. I also ask that synthetic long positions generated through reverse conversion of options be tracked as well, it appears there's a direct correlation between that number increasing and FTDs decreasing.
It is very important that you as regulators stick to protecting people that need protection and allow investors that understand the risks/rewards act in a free market system.
Leveraged and inverse funds are important and needed tools in our investment portfolio.
Please do not put further rules and restrictions on our investment choices.
GUIDANCE
Corporate Debt Securities
Effective Date: June 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Dissemination of Transaction
Information
Operations
Rule 6200 Series
TRACE Rules
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT IS JULY 10, 1985
The National Association of Securities Dealers, Inc. is soliciting comments from members and other interested persons on a proposed amendment to Article III, Section 28 of the NASD's Rules of Fair Practice ("Section 28"), 1/ which would impose certain requirements on associated
SR-FINRA-2008-004 - Proposed Rule Change to Amend the Rule 7000C Series Regarding Charges for FINRA/NSX Trade Reporting Facility Services
This data provides market activity as of end of day for structured products, based on transactions reported to TRACE. Tables of aggregated price levels are organized by product type.This end-of-day service represents the full asset- and mortgage backed securities markets and is derived using only actual transacted prices from TRACE, the U.S. over-the-counter bond market mandated regulatory
The party at whose instance a transfer of securities is made shall pay all service charges of the transfer agent.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.Selected Notice: 10-49.
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2019
