SEC Approves Amendments to Disseminate Collateralized Mortgage Obligation (CMO) Transactions and to Reduce the Reporting Time for CMO Transactions
FINRA Rule 5123(a) requires firms that sell a private placement to file a copy of any offering document with FINRA within 15 calendar days of the first sale, subject to certain exemptions. FINRA Rule 5122(b)(2) requires firms that sell a private placement of unregistered securities issued by a member or a control entity to file a copy of any offering document
Some investors use foreign securities to diversify portfolios. Since overseas assets often don’t track their U.S. counterparts closely, a globally diversified portfolio might help reduce volatility. But currency risk could be present both in foreign investments and also other parts of your portfolio.
REQUEST FOR COMMENT
Proposed Rule Governing the Purchase, Sale, or Exchange of Deferred Variable Annuities
Comment Period Expired: August 9, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Affidavits
Arbitration
Central Registration Depository System (CRD® or CRD system
IMMEDIATE ACTION REQUIRED
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Mutual Funds Transactions
Breakpoints
Executive Summary
Mutual funds that are sold with front-end sales loads often offer investors the opportunity to pay reduced sales loads under a variety
Since 2018, FINRA’s and the Municipal Securities Rulemaking Board’s (MSRB) amendments to FINRA Rule 2232 (Customer Confirmations) and MSRB Rule G-15 have required firms to provide additional transaction-related information to retail customers for certain trades in corporate, agency and municipal debt securities (other than municipal fund securities).
I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date is January 9, 1984
Attached are amendments regarding two separate issues which are being submitted to the membership for a vote. The first issue is that of amendments to the proposed Corporate Financing Rule filing requirements which would exempt from those requirements all debt and equity
Summary
FINRA requests comment on a proposal to expand the alternative trading system (ATS) volume data that it publishes on its website to include information on transactions in corporate bonds and agency debt securities that occur within an ATS and are reported to FINRA’s Trade Reporting and Compliance Engine (TRACE).
Questions concerning this Notice should be directed to:
Chris Stone,
Greetings to the person reading this message and thank you for the consideration. FINRA 21-19 is a long overdue change. It is clear that perceptions of the integrity of the United States market is at great risk, in large part due to FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and
Hello I want to suggest a new rule with all financial operations of any kind by any broker is instantly reported, it's 2021 after all - and that all these operations were transparent and public via your websites - with multiple layers of depth so that "new" retail investors like myself could understand the basics easily - and that it would be multiple levels of depth for the more
