Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) General Requirement for Motions
A Party may make a written or oral motion, subject to limitations set forth below. A Party or other person may make a motion under
Investment planning doesn’t stop once you make an investment. Evaluating the performance of your investments is a critical part of managing—and monitoring—your investment assets over time.
(a) General Requirement for Motions
A Party may make a written or oral motion, subject to limitations set forth below. A Party or other person may make a motion under Rule 9146(k), subject to limitations set forth below.
(b) Adjudicator May Require a Written Motion
If a Party makes an oral motion, an Adjudicator may order that such motion be set forth in writing, after considering the facts
I am writing to request that FINRA reform their short-sale and FTD reporting to the highest enforcement standards possible. Specifically, I am concerned that FINRA's current blindness with regard to alternate formations of short interest through "married puts" and arranged financing leads to unquantifiable systemic risk which can then be rolled over indefinitely with low borrow
I am a retail investor in my later 30's. I have only been contributing to my 401(k) for the last 4 years, and opened my Roth IRA in early 2020. I have not been investing very long, and plan to be working another 30 years before I'll have enough to retire on. I tell you this only because I want you to understand how totally and completely the last 18 months have shaken my confidence in
Our country and history has been brought about by change. Change that may have seemed difficult at the start, may have been viewed negatively, avoided, or even resisted, but eventually led to the greater good for all. This is no different. FINRA 21-19 is a change that needs to happen for the greater good of all. It’s a change that is long overdue and needs to be expedited into action. Where there
Comment Period Expires January 31, 1995
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Executive Summary
The National Association of Securities Dealers, Inc. (NASD) requests comments on a proposed amendment to Article III of the Rules of Fair Practice (Rules) to require members to report to the NASD the occurrence of specified events and quarterly summary
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Statutory Disqualification
Executive Summary
The Securities and Exchange Commission (SEC
Comment Period Expires: July 16, 1997
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Executive Summary
In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests comment on specific
