Proposed Rule Change to Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook
Proposed Rule Change to Adopt FINRA Rules 2130 (Approval Procedures for Day-Trading Accounts) and 2270 (Day-Trading Risk Disclosure Statement) in the Consolidated FINRA Rulebook
Proposed Rule Change To Amend the FINRA Rule 6700 Series and the TRACE Dissemination Protocols to Provide for the Dissemination of CMO Transactions
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on amendments to the NASD By-Laws implementing the recommendations of the Special Committee
Gross Income Assessment, Personnel Assessment, and Regulatory Fee
SUGGESTED ROUTING
KEY TOPICS
Compliance
Legal
Senior Management
Gross Income Assessment
NASD By-Laws
Personnel Assessment
Regulatory Fee
Executive Summary
NASD is issuing this Notice to Members to inform members that NASD's Board of Governors has approved proposed changes to NASD's Gross
Proposed Rule Change to Revise the Series 38 Examination Program
Proposed Rule Change to Revise the Series 37 Examination Program
Proposed Rule Change to Revise the Series 7 Examination Program
The Neutral Corner - Volume 3—2023
While I support education about so-called 'complex' investment products, imposing restrictions on purchasing such products is not the right approach. For many years, financial products have been plagued with excessive 'legalese' -- which is the biggest barrier to investors understanding the products in which they are investing. Even the SEC is guilty of obnoxiously wordy
