The Neutral Corner—Volume 3, 2021
Mission Statement
Avoiding Confusion and Delays When Resolving Motions to Dismiss (by Matthew Kipnis, FINRA Extern)
Bits, Bytes and E-Discovery Fights (Part III) (by Lisa Miller, FINRA Arbitrator)
Using Arbitration Hearing Scripts (by Narielle Robinson, Senior Case Administrator, FINRA Mediation)
FINRA Dispute Resolution Services and FINRA News
Re: Request for Comment on Day Trading Rules (Regulatory Notice 24-13)To Whom It May Concern:Jake P. Noch Family Office, LLC. (“JPN Family Office” or “we”) appreciates the opportunity to comment on FINRA’s review of the rules governing day trading and pattern day trading (the “Rules”). We commend FINRA for periodically reassessing the Rules in light of evolving market conditions, technological
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market System (Nasdaq/NMS) securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq/NMS
The Firm Short Positions and Fails-to-Receive in Municipal Securities and Fixed Income – Fair Pricing sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Department of Treasury recently finalized two amendments to the Bank Secrecy Act (the Act) regulations. One amendment adds a definition of "structuring" to the anti-structuring provision, which prohibits
Revised Last Voting Date: September 14, 1998
(Note: voting by NASD member Executive Representatives only through mail ballots distributed with print version of this Notice.)
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The National Association of Securities Dealers,
Guidance on FINRA’s Suitability Rule
<p>Based on certain representations and compliance with the requirements of SEC Rule 17a-4(i), third party may provide recordkeeping services to its NASD member clients, such that the member clients would not be required to individually download and separately retain copies of documents required pursuant to Rule 2790(b).</p>
Most securities require the buyers to exercise due diligence. Whether a publicly traded company or ETF, each individual has the obligation to be aware of the risks.
Increased regulation will only add greater burden to brokers, which the consumer ultimately ends up paying. These leveraged funds have enhanced my trading strategies and made me a better investor. They have provided me with decent
Individuals, not regulators should be able to choose the public investments that are right for them. Public investments should be available to all of the public, not just the privileged. Investors should not be discriminated against based on net worth requirements. Regulations restricting investments makes the United States less competitive worldwide for entrepreneurs and investors. The US
