FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
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Senior Management
Advertising
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Corporate Finance
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Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
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Executive Summary
The National
REQUEST FOR COMMENT
Order Audit Trail System (OATS)
Comment Period Expires: January 20, 2005
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KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
OATS
Executive Summary
NASD is issuing this Notice to Members to solicit
FINRA does not regulate mutual funds directly, but regulates the broker-dealers and registered representatives that sell mutual funds. In this capacity, FINRA enforces rules on mutual fund advertising, sales practices, including the sales loads that broker-dealers may charge, the incentives provided to registered representatives and the execution of mutual fund portfolio transactions.
Executive Summary
The Central Registration Depository (CRDSM) Redesign will require several action items from members. A Membership On Your Side will be mailed to the CRD contact in each member firm in the next couple of weeks that contains several items on which members must take action, CRD system pricing information, a list of service bureaus, and a Site Preparation Guide.
Questions
A completely transparent market would allow retail traders to self teach themselves much easier. Along with an official site with all data, Picture Ortex without having to pay $500/year. Also, give us up to date information.... this T+2, T+5, T+13, T+35 stuff is nonsense in today's day and age. We have the technology to do it, so why aren't we giving current information? Creating a
INFORMATIONAL
Continuing Education
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KEY TOPICS
Continuing Education
Legal & Compliance
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Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a
Remarks by Chairman and CEO Rick Ketchum at the IRI Government, Legal and Regulatory Conference
As an investor in leveraged ETFs, I oppose adding additional requirements to be able to invest in them. There are already very aggressive warnings against investing in leveraged ETFs on the brokerage sites that I've used (specifically Fidelity and Schwab). These extra warnings informed me that these products are not suitable for most investors and made you acknowledge that these
Before investing in stocks, also referred to as equities, take time to gather the information necessary to make an informed investment decision, a process commonly known as due diligence.
