FINRA Rule 2330 (Members’ Responsibilities Regarding Deferred Variable Annuities) establishes sales practice standards regarding recommended purchases and exchanges of deferred variable annuities, including requiring a reasonable belief that the customer has been informed of the various features of annuities (such as surrender charges, potential tax penalties, various fees and costs, and market risk); and, prior to recommending the purchase or exchange of a deferred variable annuity, requiring reasonable efforts to determine the customer’s age, annual income, investment experience, investment objectives, investment time horizon, existing assets and risk tolerance.
Mandatory Display Guidelines
T CAPITAL FUNDING, LLC600 NORTHLAKE BOULEVARD, SUITE 175, ALTAMONTE SPRINGS, FL 32701T&G PRIVATE CAPITAL LLC44 WALL STREET, SUITE 602, NEW YORK, NY 10005T. E. LAIRD SECURITIES, LLC79 OTIS AVENUE, ST. PAUL, MN 55104T. ROWE PRICE INVESTMENT SERVICES, INC.1307 POINT STREET, BALTIMORE, MD 21231T.R. WINSTON & COMPANY, LLC376 MAIN STREET, BEDMINSTER, NJ 07921-2613Mailing Address: P.O.
By Kara Williams and Gargi Sharma
Here is a look back at a few key topics related to anti-money laundering (AML) obligations that rose to the level of being included in FINRA’s 2023 Examination and Risk Monitoring Report. These threats continue to be prevalent today and remain as areas of focus for FINRA’s Complex Investigations and Intelligence (CII) section.
One was manipulative trading in
FINRA’s Board of Governors met on December 4-5. The agenda included discussions around FINRA’s 2025 budget, FINRA’s Outside Business Activities and Private Securities Transactions rules, and an overview of the 2025 FINRA Annual Regulatory Oversight Report.
It does not make any sense to create legislation to make investing more exclusive, especially if it rules out the very people you espouse to "protect". The last thing we the people want from FINRA is to make investing yet more of an exclusive club for the elites. It is honestly disgusting that you are pursuing legislation in this domain given the glaring issues which have come
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 1, 1986, 11 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,280. These 11 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
I could go into a long monologue about why this is wholly unnecessary, and un-American, but I'm a very busy man, a business owner and former Series 7, 6, and 66 SEC license holder, so I know I qualify to invest in this stuff and probably will regardless of whatever ridiculous rules you grifters dream up. I also have been doing business and investing stuff long enough to know that you corrupt
SUGGESTED ROUTING*
Senior ManagementMunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On October 31, 1990, the United States District Court for the Middle District of North Carolina appointed a Securities Investor Protection Corporation (SIPC) trustee for:
Carolina First Securities Group514 South Stratford RoadWinston-Salem, North
SUGGESTED ROUTING*
Senior ManagementMunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On September 17, 1990, the United States District Court for the Northern District of Texas, Fort Worth Division, appointed a SIPC trustee for:
DFW Clearing, Inc.3200 City Center II301 Commerce StreetFt. Worth, Texas 76102.
Members may use the
