<p>Application of NASD Rule 2830(l)(5)(D) to sales contests involving sales personnel who perform marketing services.<br/></p>
April 15, 2002The time period to correct a New Order Report or a subsequent order event depends on how long it has been since the New Order Report was accepted by OATS. The system maintains two files for validating data it has accepted: the Day Order File and the GTC File. The Day Order File contains all DAY, GTT, and Market orders for a rolling five business days. The GTC File contains GTC, GTM
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On August 13, 1993, the Securities and Exchange Commission (SEC) issued a no-action letter that allows broker/dealers to treat foreign equity securities listed on the FT-Actuaries World Indexes (Indexes) as having a "ready market" under SEC Rule 15c3-1 (net capital rule
INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryThrough this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The candidates nominated to the District Committees have been duly elected in Districts 2 through 9, and in District
FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
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Effective upon publication of this Notice, the National Association of Securities
Dear SEC, From: Concerned Citizen Regulations are mainly out of reach. The old way of taxing is running out of runway, but with every innovation (Blockchain/Defi tech) comes some form of change. I believe we are undergoing radical change that will disperse wealth to the people. Isn't that the goal. Taxes and policy/regulation will for sure stifle American GDP in comparison to other countries
I believe that most people who do choose to invest in these funds are aware of the risks and do their own homework before they start investing. While I do believe that offering education on the risks, as well as risk mitigation strategies, would be beneficial for traders, I do not believe that extra layers of bureaucracy and testing will create better or safer traders, and will simply reduce the
Summary
FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday
I think the current requirements for self-directed investors are sufficient and there should not be more restriction on people to invest their money. The underlying premise that retail investors do not know what they are doing is flawed. What we need is less control and not more. Retail investors do not want to be forced into taking services from industry professionals and want to develop their
