The FINRA West Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the West Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides opportunities
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsTrading
Executive Summary
The Securities and Exchange Commission (SEC) has adopted amendments to certain rules under the Securities Exchange Act of 1934 (Act) that apply to transactions in low-priced securities traded in the over-the-counter market. Specifically, the SEC amended Rule 15c2-6, which makes it
<p>Permissibility of electronic approval of accounts under NASD Rule 3110(c)(1)(C). (Note: Underlining indicates redactions from original letter).</p>
REQUEST FOR COMMENT
Regulation of IPO Allocations and Distributions
Comment Period Expires: September 9, 2002.
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal & Compliance
Registered Representatives
Senior Management
Trading & Market Making
Flipping
IPO Allocations
NASD Rule 2710
NASD Rule 2712
Penalty Bids
Spinning
Underwriting Compensation
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
When you’re young, it’s easy to feel like there’s no rush to save for retirement. But before you know it, you might find yourself in your 50s or 60s and nowhere near your retirement savings goal. If you’re getting closer to retirement, what can you do to boost your nest egg?
I'm 10-15 years from retirement as a senior business systems analyst for over 25 years, with an M.B.A. and B.S. Psychology (thus, understand stats, metrics, patterns, cause & effect), who's spent the past 5 years studying financial markets and investing research, primarily so that I can retire sooner or better, but also to better understand economics, markets and business.
I don't want to be parented by a government agency that wants to take away investor's rights and destroy a free market system wherein investor's determine their own suitability and investment goals. The proposed changes are an invasion into investor's private affairs. I very well can read a prospectus and decide for myself without any further governmental
We publish The Neutral Corner to provide arbitrators and mediators with current updates
on important rules and procedures within securities dispute resolution. FINRA’s dedicated neutrals serve parties and other participants in the FINRA forum by taking advantage of this valuable learning tool.
Monthly Disciplinary Actions June 2018
