It may be deemed conduct inconsistent with just and equitable principles of trade and a violation of Rule 2010 for a member or a person associated with a member to:
(a) fail to submit a dispute for arbitration under the Code as required by the Code;
(b) fail to comply with any injunctive order issued pursuant to the Code;
(c) fail to appear or to produce any document in his possession or
Ornella Bergeron is a Senior Vice President in Member Supervision, responsible for leading FINRA’s Risk Monitoring Program. The Risk Monitoring team is a member firm’s primary contact point at FINRA. Through its ongoing and proactive monitoring, Risk Monitoring enables FINRA to implement a risk-based program that effectively focuses its resources and regulatory responses on risks of concern. To
As prepared for delivery
Good afternoon. Thank you, Wayne [Abernathy], for that kind introduction and for the invitation to speak with you today. It is a pleasure to address this group, which plays such a unique role in facilitating the open discussion of important issues facing our economy and financial system.
Most of you, I assume, invest in the stock market. Many of you invest through
In investment-related impersonation schemes, scammers misuse the name of real registered investment professionals or firms to create the appearance of legitimacy. Imposter scams can be difficult to spot unless you know what you’re looking for. Here are patterns to be aware of and tips to help spot the fakes.
These types of funds are crucial to retirement accounts that are not eligible for margin. Inverse ETF's give you the ability to protect yourself from downside risk, which is important because one is not able to put on any short positions in a retirement account.... and sometimes regular cash accounts too!
Inverse and leveraged ETF's are in all of my portfolios, because they
/01 Responsibility of Personnel
Rule 435(5)T, which prohibits the circulation of rumors, extends personal responsibility for its observation to all member organization personnel. Those who service accounts, those who are handling the member organization's long distance wires and those on the trading desks must in particular exercise a high degree of individual responsibility as their
Failure of a Participant or person associated with a Participant to comply with any of the rules or requirements of the System may be considered conduct inconsistent with high standards of commercial honor and just and equitable principles of trade, in violation of Rule 2010.
Renumbered from Rule 7270C by SR-FINRA-2008-066 eff. Jan. 1, 2009.
Amended by SR-FINRA-2008-057 eff. Dec. 15, 2008
The data elements specified in Rule 7230B(d) are critical to FINRA's compilation of a transaction audit trail for regulatory purposes. As such, all member firms utilizing the trade reporting service of the System have an ongoing obligation to input 7230B(d) information accurately and completely.
Renumbered from Rule 7260C and amended by SR-FINRA-2008-066 eff. Jan. 1, 2009.
Amended by SR-
• • • Supplementary Material: --------------
.01 Uniform Delivery Ticket Form.
NO.
DELIVERY TICKET
NAME OF MEMBER:ADDRESS:
TELEPHONE
THE ATTACHED SECURITIES ARE DELIVERED AGAINST PAYMENT
CODES
ORIGINATOR NO.
TRANS. NO
