I am commenting in regards to particular aspects of FINRA 21-19, which I do support and believe should have been enacted long ago. Undoubtedly, the public’s faith in the United States market has been diminishing following the many preventable financial crises that have occurred in the past. The ongoing state of the market from retail investors points of view, frankly appears broken and has failed
GUIDANCE
Structured Products
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal and Compliance
Retail
Senior Management
Derivatives
Options
Structured Products
Structured Securities
Executive Summary
As a result of a recent review of members that sell structured
products, NASD staff is concerned that members may not be
fulfilling their sales practice obligations when selling
Retail Investors in the U.S and around the world are becoming more aware of how the financial industry works. Regulatory notice 21-19 is critical restoration of trust/confidence and stability in the U.S. markets. All regulation changes regarding SI be effective immediately in all circumstance: short position, synthetic or otherwise. The cost of operations needed for applicable market members to
On January 31, 2003, the Securities and Exchange Commission (SEC) approved NASD's proposal to increase dissemination of price information and transparency in the corporate debt markets through TRACE. The proposal, when implemented, will increase dissemination and transparency for over 4,000 TRACE-eligible corporate debt securities.
Implementation will occur in two parts, starting with the
On July 14, 2008, FINRA announced in an updated version of the OATS Reporting Technical Specifications that a "Negotiated Trade Flag" was being added to both the New Order and Combined Order/Execution Reports to identify instances where a trade is completed as the result of a negotiation.
FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship
Simplified Arbitrations
The simplified arbitration rules apply to arbitrations involving $50,000 or less, exclusive of interest and expenses.
Expedited Proceedings for Seniors & Seriously Ill Parties
Dispute Resolution may expedite arbitration proceedings in matters involving seniors or seriously ill parties.
Expungement
Brokers may seek to have a reference to allegations or involvement
G. A. REPPLE & COMPANY101 NORMANDY RD, CASSELBERRY, FL 32707G.DISTRIBUTORS, LLCONE CORPORATE CENTER, RYE, NY 10580-1435G.RESEARCH, LLCONE CORPORATE CENTER, RYE, NY 10580-1435G.W. SHERWOLD ASSOCIATES, INC22994 EL TORO ROAD, LAKE FOREST, CA 92630G1 EXECUTION SERVICES, LLC175 W. JACKSON BLVD., SUITE 1700, CHICAGO, IL 60604GAGNON SECURITIES, LLC1370 AVENUE OF THE AMERICAS, 26TH FLOOR, NEW
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their continuing
