Dissemination of Qualified Contingent Trades Reported to FINRA
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator
Good Morning, I am writing this comment in response to your classification of LETF's as a complex product. I agree with this assertion, and additional warnings and barriers to investors using these products without prior understanding MIGHT be beneficial to "protecting" investors from themselves. However, I want to specifically advise that restrictions that prevent investors from
In Regulatory Notice 23-17, FINRA announced its decision, effective November 30, 2023, to discontinue collecting INSITE data, pursuant to Rule 4540, at this time. As a result, effective November 30, 2023, the Customer Debits Report was retired from the FINRA Report Center. Any questions may be directed to Demetrios (J) Koutros, Vice President, Member Supervision Operations, Procedures
In Regulatory Notice 23-17, FINRA announced its decision, effective November 30, 2023, to discontinue collecting INSITE data, pursuant to Rule 4540, at this time. As a result, effective November 30, 2023, the Canceled and As-Of Trades Report was retired from the FINRA Report Center. Any questions may be directed to Demetrios (J) Koutros, Vice President, Member Supervision Operations, Procedures
(a) Applicability of Code
The Code applies to any dispute that is submitted to arbitration under the Code pursuant to Rules 13200, 13201, or 13202.
(b) Incorporation by Reference
When a dispute is submitted to arbitration under the Code pursuant to an arbitration agreement, the Code is incorporated by reference into the agreement.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by
FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date
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Legal & Compliance
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Executive Summary
On May 5, 1995, the Securities and Exchange Commission (SEC) approved amendments to the Interpretation of the Board of Governors—Forwarding of Proxy and Other Materials under Article III, Section 1 of the NASD® Rules of Fair Practice1 (Interpretation). The
Comment Period Expires April 24, 1995
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Senior Management
Government Securities
Institutional
Legal & Compliance
Trading
Executive Summary
The Department of the Treasury (Treasury) recently issued an Advance Notice of Proposed Rulemaking (ANPR) under the Government Securities Act of 1986 (GSA). Treasury intends to implement rules to require persons
Neutral Corner - February 2008
