Guidance on FOCUS Reporting for Operating Leases
I am opposed to restrictions on my right to invest using leveraged and inverse funds. I am an old guy who has only become an active investor in the last couple years. I have a modest portfolio. The big guys have many advantages in the markets. I have found that using leveraged and inverse funds enhances my opportunities. The considerable risks are easy to understand but with careful use the
(a) Pre-hearing
After a Respondent's answer has been filed and Documents have been made available to that Respondent for inspection and copying pursuant to Rule 9251, the Respondent or the Department of Enforcement, without leave of the Hearing Officer, may make a motion for summary disposition of any or all the causes of action in the complaint with respect to that Respondent, as
(a) Chief Hearing Officer Selection Alternatives
Following a determination of whether a Hearing Panel or an Extended Hearing Panel should be appointed, the Chief Hearing Officer shall determine:
(1) which Regional Committee shall be the Primary Regional Committee from which Panelists may be selected; and
(2) whether one of the Panelists may be selected from the Market Regulation
A firm is required to promptly update Form BD information by submitting amendments whenever the information on file becomes inaccurate or incomplete for any reason.Additionally, when a FINRA member firm plans to undergo a material change in business operations it is required to file a Continuing Membership Application (CMA) with FINRA’s Membership Application Program (MAP) Group prior to
All capital acquisition brokers are subject to FINRA Rule 5150.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 5122.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 4570.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 4517.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 4530.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
