SummaryFINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November, and
Sec. 1. The Corporation shall prepare an estimate of the funds necessary to defray reasonable expenses of administration in carrying on the work of the Corporation each fiscal year, and on the basis of such estimate, shall fix and levy the amount of admission fees, dues, assessments, and other charges to be paid by the members and issuers and any other persons using any facility or
<p>Employee Leasing Arrangement Does Not Violate Rule 2420</p>
Note: Only NASD member Executive Representatives are allowed to vote. Ballots with voting instructions were distributed with the print version of this Notice.
ACTION REQUESTED
NASD By-Law Amendments
Last Voting Date: January 22, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Corporate Governance
NASD By-Laws
Executive Summary
The
The TRACE monthly volume reports illustrate total and average daily trading volumes in Corporate, Agency and Structured Products reported to TRACE for the prior month. The data is grouped into Total, ATS (Alternative Trading System), Interdealer, and Customer Trades.
The monthly data is published on the third business day following the end of the month.
About TRACE Volume Data
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.
Amended by SR-FINRA-2008-057 eff. Dec. 15, 2008.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceTradingTraining
Executive Summary
Members are reminded that commission charges to customers in agency transactions are fully subject to all provisions of Article III, Section 4 of the NASD Rules of Fair Practice. As such, the NASD 5% Policy applies as equally to commissions on agency trades as it does to markups or
I'm a retail investor, of the style that invests my meager retirement in ETFs and other low-risk vehicles. I've recently become more interested in managing my own IRA and such, in part due to the fervor surrounding GME and other tremendously short sold stocks. This interest let me to reading extensively about short interest, reporting, FTDs, and the options techniques used to "hide
If you are thinking about rolling over money from your Thrift Savings Plan (TSP) into an IRA, take some time to consider your options—one of which is to stay put in the TSP, or even transfer money from another retirement account into your TSP.
