Electronic Filing
Regulatory Notice
Referenced Rules & Notices
NASD Rule 3170
NTM 06-61
Key Topics
Electronic Filing Requirements
Suggested Routing
Compliance
Legal
Operations
Senior Management
Executive
The use of negative response letters to transfer customers serviced by "independent contractor" registered representatives from one introducing broker dealer to another may conflict with a member's obligation to observe high standards of commercial honor and just and equitable principles of trade.
GeneralDo Rules 5110, 5121 and 2310 (the “Corporate Financing Rules”) apply to Regulation A offerings?Yes. Rule 5110(a)(2) requires all public offerings, with limited exceptions as provided in Rule 5110(h), to be filed with FINRA. Regulation A+ offerings are public offerings subject to the Corporate Financing Rules. A member must comply with Rule 5121 (Public Offerings of Securities with
To whom it may concern, I'm not sure why you would consider limiting my ability to invest in digital currency ETFs. They are far less risky investment than the digital currency itself. Funds like BITO offer an opportunity to buy a diversified set of currencies without having to participate in wallet services. Please do not limit my ability to buy funds like these.
This is outrageous! I appreciate the service Titan offers me as I don't have time to research the market daily to analyze my associated costs and risks. Titan's portfolio allows me to spend my time doing what I like and what I'm good at, much like the hedge fund managers for the wealthy 1% that allow them to spend their valuable time on other activities besides market research.
INFORMATIONAL
NASD and NYSE Joint Release on
Section 311 of the USA PATRIOT Act
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Anti-Money Laundering
Discussion
This Notice reminds member organizations that the Financial Crimes
Enforcement Network (FinCEN) has issued a final rule imposing a
special measure,1 which becomes effective August
FINRA 21-19 is a long overdue change. It is clear that there is a systematic flaw in the United States market that if continued, will lead to disaster. A large part of this issue is the outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective reporting, they also leave significant specific
FINRA 21-19 is something this country has needed for a long time -- financial institutions, hedge funds and the like need to be better regulated. I didn't know a lot about the market before this year, but what I have learned is that there are too many loopholes, and a lack of enforcement of existing regulations, that allows big players to make money at everyone else's expense. Synthetic
It is clear that the integrity of the United States market has been strained to the edge of collapse, in large part due to risk resulting under the regulatory authority of FINRA's outdated, short-interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective reporting, they also leave significant specific
The buy-in requirements under FINRA Rules 11810 and 11870 do not apply for the specified time period to securities identified on the DTC Master List of Inaccessible Certificates, provided that the member firm maintains a detailed record indicating the fail to deliver items related to the physical certificates identified on the DTC Master List of Inaccessible Certificates.
