SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
GUIDANCESales Practice ObligationsSUGGESTED ROUTINGKEY TOPICSAdvertising/Investment CompaniesDebt SecuritiesExecutive RepresentativesLegal & ComplianceMutual FundsRegistered RepresentativesSenior ManagementTrainingDebt SecuritiesMunicipal SecuritiesMutual FundsSales Practice ObligationsExecutive SummaryAs the number of retail customers investing in bonds and bond funds grows, NASD is
To whom it may concern, As a private individual investor, I am adamantly opposed to any regulation restricting our access to leveraged and inverse funds. We do not need, nor want, the oversight and binding of regulators to protect us from our investment decisions and choices. Regulators consistently allow unrestricted free-reign to the investment bankers and Wall Street cronies who have captured
The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.All times listed are Central Time.Wednesday, October 81:00 p.m. – 3:30 p.m.*Optional Workshop – Pre-registration required: Vendor Management Checklist Workshop and Loss of Critical Third-
Guidance on Special Purpose Acquisition Companies
November 1999
Are You Ready For The Year 2000?
As the Year 2000 approaches, most media reports and surveys indicate that businesses are making significant progress and will be well prepared for the century date change. However, there is still work that needs to be done. Organizations should continue to focus on maintaining a high level of readiness. One important way to achieve this is through
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, which can include advising companies and private equity funds on capital raising and corporate restructuring and acting as placement agents for the sale of unregistered securities to institutional investors under limited conditions. CABs are not permitted, among other things, to carry or maintain customer
Identity theft occurs when someone obtains your personal information and uses it to take your money or to commit fraud or other crimes. It can devastate your credit rating and derail financial security. Here's how you can protect yourself.
Every relationship involves taking that all-important first step. Your relationship with money and investing is no different. Explore the full course sequence or jump right into one of the topics below.
Chairman Sarbanes, Senator Gramm, Members of the Committee, thank you for this opportunity to testify on the vital, troubling and timely issues of investor protection and accounting regulation revealed by the collapse of Enron.
