Overview of FINRA Senior Exploitation Rules
The FINRA Senior Exploitation Rules provide firms with the tools to protect senior investors and help firms address risks relating to possible financial exploitation. FINRA Rule 4512 (Customer Account Information) requires firms to make reasonable efforts to obtain the name of and contact information for a trusted contact person upon the opening of a
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission has recently approved amendments to Section 4 of Appendix A, Article III, Section 30 of the Association's Rules of Fair Practice that relates to minimum margin requirements for option contracts on a market or industry index. These amendments which became effective on April 13, 1984 establish minimum
I am writing to FINRA to comment today, pursuant to 15 U.S.C.A. § 78i, titled Manipulation of Security Prices, to prohibit manipulative and deceptive tactics that artificially depresses the price of AMC Entertainment and other securities in contravention of the laws of the United States. Section 78i(a) clearly states that "It shall be unlawful for any person, directly or indirectly, by the
Financial regulation primary purpose is to both create a fair marketplace and create a public perception of a fair marketplace. To do this, financial regulation should work to eliminate uncertainty in the exchange process and work to eliminate volatility not due the fundamentals of the company who stock is being traded. While there are valid reasons for companies and individuals to short stocks,
I strongly oppose any further regulations by FINRA of leveraged or "complex" securities, especially any potential minimum liquid net worth requirements. Such regulation would be devastating for me personally and would represent a grave injustice perpetrated against many people.
There's a proper role in society for a truly private, voluntary organization that helps
GUIDANCEResearch Analysts and Research ReportsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativeInvestment BankingLegal & ComplianceOperationsResearchSenior ManagementAdvertisingInvestment BankingResearch ReportsExecutive SummaryIn July 2002, NASD and the New York Stock Exchange (together, the SROs) issued a joint memorandum (the July 2002 Joint Memo) that provides interpretive guidance
JOINT REQUEST FOR COMMENT
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Training
Correspondence—General
Electronic Communications
Rule 2210 (Communications with the Public)
Rule 2211 (Institutional Sales Material and Correspondence)
Rule 3010 (Supervision) Supervision
Amendments to NASD Rule 3210 to Conform with Amendments to the SEC's Regulation SHO Delivery Requirements
The FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA’s unique rules and guidelines, as well as our current corporate organization. It consists of two main components:
Our Rules
FINRA’s rules and guidelines ensure a safe and fair market. These rules are constantly changing to adapt to new developments in the industry.
(a) Normal Ex-Interest DatesAll transactions, except "cash" transactions, in bonds or similar evidences of indebtedness which are traded "flat" shall be "ex-interest" as prescribed by the following provisions:(1) On the record date if the record date falls on a business day.(2) On the first business day preceding the record date if the record date falls on a day
