TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc., has adopted amendments to the Venture Capital Restrictions of the Corporate Financing Interpretation under Article III, Section 1 of the NASD Rules of Fair Practice, which apply to venture capital investments by NASD members and certain of their associated and affiliated control persons prior
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) Hearing Panel Consideration
(1) Appointment of Hearing Panel
When the disqualified member, sponsoring firm, or applicant requests a hearing, the National
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
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Section 1: Purpose of Guide
This User Guide is designed to assist Certification Representatives (CReps) who are responsible for completing their organization’s account certification, which is an annual requirement of the FINRA Entitlement User Account Certification Process. Organizations with CReps are those organizations that do not have a Super Account Administrator (
National Association of Securities Dealers, Inc.
Notice Of Meeting And Proxy
The Annual Meeting of members of the National Association of Securities Dealers, Inc. ( NASD®) will be held on December 21, 1998, at 9:30 a.m., at the Carlton Hotel, 16th & K Sts. N.W., Washington, D. C.
The items of business to be considered at the Annual Meeting are:
1.
Election of persons to serve on
INFORMATIONAL
Revised Forms U4 and U5
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Central Registration Depository
Form U4
Form U5
Statutory Disqualification
Executive Summary
The Securities and Exchange Commission (SEC
S. GOLDMAN ADVISORS, LLC599 LEXINGTON AVENUE, 35TH FLOOR, NEW YORK, NY 10022S.G. LONG & COMPANY283 WEST FRONT SUITE 302, SUITE 302, MISSOULA, MT 59802-4328Mailing Address: 283 WEST FRONT SUITE 302, MISSOULA, MT 59802-4328S.L. REED & COMPANY11111 SANTA MONICA BOULEVARD, SUITE 1200, LOS ANGELES, CA 90025-3346S2K FINANCIAL LLC5950 HAZELTINE DRIVE, SUITE 305, ORLANDO, FL 32822SABADELL
Comment Period Expires: July 16, 1997
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Syndicate
Training
Executive Summary
In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests comment on specific
