GUIDANCE
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform
Public GovernorChief Executive Officer, FusionIQGovernor Since 2020Committees: Compensation & Human Capital Committee (Chair), Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee, Nominating & Governance Committee, Regulatory Oversight Committee, Regulatory Policy Committee (ex officio)Professional
FINRA operates Monday through Friday during regular business hours, except as indicated below.2025 DateHolidayWednesday, January 1, 2025New Year’s DayFriday, January 17, 2025Friday before Martin Luther King, Jr. Day (1 p.m. early close)Monday, January 20, 2025Martin Luther King, Jr. DayFriday, February 14, 2025Friday before President's Day (1 p.m. early close)Monday, February 17,
Distribution Manager is used by the lead manager or book runner of a firm-commitment initial public offering (IPO) or follow-on offering to report underwriting commitments and retentions on behalf of the syndicate.
GUIDANCE
Automated Transaction Reporting
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal & Compliance
Operations
Senior Management
Away from the Market Sales
Odd-Lot Transactions
OTC Options
Regulatory Transaction Fee
Section 3 of Schedule A to
NASD By-Laws
Transaction Reporting
Executive Summary
On June 12, 2006, the Securities and Exchange Commission (SEC)
approved SR-NASD
I found out about the request for comment through https://www.leteveryoneinvest.com/ which in my opinion gives very misleading information about what FINRA is trying to do here. First, I think FINRA's enforcement of existing rules and regulations is extremely poor and that should be addressed before anything else. What's the point of adding additional suitability rules when the agency
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 1, 1987, the following 2 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,068:
Symbol*
Company
Location
HIWDF
SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants
It's the basic principle of "free market" that the retail investors should be able to choose whatever products (including Options, Futures and Other Derivatives) to fit their investing strategy. Taking this right away will even broaden the wealth gap between retail investors vs the riches who could leverage institutional service. The liquidity of the market will be
I'd like the freedom to determine my own financial risk and investments. I've studied the financial market for more than 30 years via paid services, books, newsletters, etc. I watch my portfolio closely using paid advisor review my portfolio decision based upon my life situation and risk profile. I absolutely do NOT want to have a financial agent of the federal government
