As you prepare to invest, you'll need to assess your net worth. It's not hard: add up what you own and subtract what you owe. Creating a net worth statement, and updating it each year, will help you monitor your financial progress and meet financial goals. It will also enable you to calculate how much you have (or don't have) to invest.
The first step in this process is to
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Appendix F under
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceRegistrationTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Article IV, Section 1 of the NASD Rules of Fair Practice. The amendment to Section 1 would exclude from the rule
Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2008-055 - Proposed Rule Change to Adopt NASD Rule 2315 (Recommendations to Customers in OTC Equity Securities) as a FINRA Rule
SR-FINRA-2008-054 - Proposed Rule Change to Adopt FINRA Rule 5280 (Trading Ahead of Research Reports) in the Consolidated FINRA Rulebook
Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)
Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements
Proposed Rule Change to Amend FINRA Rule 7650A Relating to Submission of Billing Disputes by FINRA/Nasdaq Trade Reporting Facility Participants
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved amendments to Article IV, Section 1, and Article VI of the Rules
