FINRA Requirements for Subordinations; Availability of New Standard Forms
Dear regulators. How about you do your jobs and protect the investor public by enforcing the laws concerning illegal activities being openly used by hedge fund managers to manipulate the markets to their benefit? It's outrageous that entities who profit ( in insane amounts ) are allowed to control not only fringe investing techniques, but to operate as market makers to directly benefit their
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
18a-3 Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.
18a-3(a) Every security-based swap dealer and major security-based swap participant for
INFORMATIONAL
NAC Nominees
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National Adjudicatory Council
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The purpose of this Special Notice to Members is to announce the nominees for the National Adjudicatory Council (NAC) for the North Region, South Region, and Central Region. The nominees, nominated for two-year terms
Regarding section D. "Information on Allocations of Fail-to-Deliver Positions" in the sections marked as "Identify of correspondent firm" and "Amount allocated to correspondent firm (number of shares). I believe that what constitutes a "Correspondent firm" and who this refers to exactly need to be more accurately defined in order to avoid misreporting or
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Series 55 — Equity Trader Examination
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Proprietary Trading
Series 55 Examination
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&
To whom it may concern,
FINRA has proposed a raft of potential restrictions on so-called "complex" investment products, among them leveraged and inverse funds. Whereas some of the proposed restrictions are at least somewhat reasonable, like passing some sort of rudimentary test to ensure the investor is aware of what the product is, others are downright outrageous, such as not
Firm culture has a profound influence on how a broker-dealer conducts its business, including how it manages conflicts of interest.
<p>Application of NASD Rule 2830(l)(5)(D) to sales contests involving sales personnel who perform marketing services.<br/></p>
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OperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
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On September 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to the NASD's Uniform Practice Code (Code or UPC) to update and amend, where necessary, provisions that were obsolete or that did not conform to current industry
