<p>Requirements of member firms to establish a schedule for and conduct inspections of Offices of Supervisory Jurisdiction and branch offices.<br/></p>
Proposed Rule Change to Allow FINRA Members to Use the OTC Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
Application of registration requirements to persons inquiring about potential clients' present accounts and other firms and current securities trades.
INFORMATIONAL
Operations
Effective Date: September 12, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
ACATS Rules
Uniform Practice Code
Executive Summary
On September 12, 2001, the Securities and Exchange Commission (SEC)
WASHINGTON—FINRA marks this month the 10th anniversary of the FINRA Securities Helpline for Seniors, an important resource for seniors and vulnerable investors that has assisted in recovering more than $9.3 million for investors as of Dec. 31, 2024.
I feel the current requirements for self-directed investors are sufficient and no more restrictions are needed. It is the responsibility of the investor to be knowledgeable in the tools which they invest in. The underlying premise that retail investors do not know what they are doing is flawed. What we need is less control and not more. I do not want to be forced into taking services from
Executive Summary
The 1995-96 NASD broker/dealer and agent registration renewal cycle begins its second phase this month. The NASD is publishing information in this Notice to help members review, reconcile, and respond to the Final Adjusted Invoice packages that mailed to all member firms in mid-January.
Questions regarding this Notice may be directed to your firm's assigned Quality &
These proposed restrictions on my ability as a lifetime worker and saver is a clear example of overreaching regulation that could deny me to invest my savings in securities through my brokerage account. I primarily invest in American companies, do not day trade and do at times invest in leveraged and inverse funds. I understand the risks of investing and have spent time and considerable money to
As an investor, I appreciate my government's efforts to afford me protections against fraud and other illegal acts by those whom I entrust to handle my investments. What I do not need or want is a government agency to baby sit every investment opportunity that might seem complicated to the ordinary person (i.e., not a lawyer or professional trader). Every source that I use for investments is
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The board Govenors of the National association of Securities
