Learn how to use the Non-registered Locations with RSL Status report template available in FINRA Gateway by watching this short video (2:23 minutes). The report template can be used to identify associated persons’ office of employment addresses marked as non-registered, private residences with outstanding “Yes” or “No” responses.
SUGGESTED ROUTING*Senior ManagementLegal & ComplianceOperationsRegistrationTradingTraining*These are suggested departments only. Others may be appropriate for your firm.EXECUTIVE SUMMARYOn October 13, 1988, the Securities and Exchange Commission approved amendments to Article III, Section 27 of the Rules of Fair Practice and conforming amendments to Article I of the By-Laws and Schedule C
ROUTE TO
Senior Management
Legal & Compliance
Operations
Other
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The WASL invited to Article III, Section 27 ID flutes of Fair Practice and planS: .Amendment to Article 1 of the NASD 5. The proposed amendments to Article III, Section 27 would
Broker-dealers are at various stages in their cloud computing journey. Firms identified their size, business focus, existing IT infrastructure, and firm culture as some of the factors that influence their path to implementing cloud computing. While it is difficult to generalize for the entire industry, the following broad categories related to cloud migration may be helpful to understand broker-
Discussing money management and investing strategies might not seem romantic, but managing a relationship is hard enough without having to fight about money. If you’re thinking of marriage or a long-term partnership, it’s important to discuss financial goals, savings, investment strategies and risk tolerance levels.
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS JUNE 20, 1983
The National Association of Securities Dealers, Inc. (the "Association") is submitting for membership vote a proposed new section of the Rules of Fair Practice which, if adopted, would replace the current Interpretation of the Board of Governors — Review of Corporate Financing
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.
Wednesday, November 9
12:00 p.m. – 5:30 p.m.
Registration
2:00 p.m. – 2:05 p.m.
Welcome Remarks
2:05 p.m. – 2:45 p.m.
Fireside Chat With FINRA President and CEO
Good morning,
I am writing to discuss the impact that limiting leveraged funds would have on me as a private investor. I, as a private investor, feel confidently that I have the knowledge and experience to make personal decisions of how I invest my own money. I do not feel that it is in the purview of regulators to make determinations as to where and how I am able to use money for long-term and
I am a retired citizen and an active private investor. I never had a job that provided me with a pension. I taught myself how to invest through trial and error. One of the great developments in investment products at the end of 1997 was that of ProFunds' making available inverse funds and leveraged funds. Both of these categories of mutual funds provided me more flexibility in how I
Thank you, Steve [Freedman] for that introduction. And thank you to Fordham's College of Business Administration for organizing this conference and inviting me to speak. I'd like to acknowledge a good friend, John Tognino, who I know is a highly valued member of the Fordham community.
