SEC Approves Amendments to IM-10104 and Rules 10306 and 10319 Regarding "Last Minute" Adjournments of Arbitration Hearings; Effective Date: August 16, 2004
FINRA Revises the Effective Date to Collect and Process Certain CRD Numbers in Connection with Regulation T and SEC Rule 15c3-3 Extensions of Time Requests
We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA believes this newsletter provides its dedicated neutrals with a valuable learning tool that enables them to better serve parties and other participants in the FINRA forum.
The Neutral Corner Volume 4 - 2016
SummaryIn February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s
In April 2022, I received a message from Vanguard stating that I would no longer be able to invest in shares of Grayscale Bitcoin Trust (GBTC) in my Roth IRA. This email was very concerning and surprising since my Roth IRA has massively outperformed the market since adding GBTC a number of years ago.
More recently, I became aware of FINRA's proposed regulations to prevent or restrict
ACTION REQUIRED
Fee-Based Compensation
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registered Representatives
Senior Management
Charges for Services Performed
Fee-Based Compensation
NASD Rule 2110
NASD Rule 2430
Executive Summary
Fee-based programs typically charge a customer a fixed fee or percentage of assets
The discovery process allows the parties to obtain facts and information from other parties to the arbitration in order to support their own case and prepare for the hearing.
What makes are American economy and stock market great is the ability to choose how we invest our time, talent, and of course money. For many the idea of growing assets through investments is a beautiful mechanism and the reason we wake up ready for work every morning. I love the financial industry and have worked in it for many years. When working with clients, I always try to follow the rules
• Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements
• Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
• Backing Away
• Best Execution—Failure to Comply With Requirements for Best Execution
• ECN Display Rule—Failure to Comply
I write to you in strong opposition to the proposed rule changes to which this public comment refers. I understand and applaud FINRA's desire to protect consumers - however I must insist you find a different way to do it. Simply restricting my access as an individual investor to a broad range of investments doesn't serve to protect me - it serves to drive my investing into
