(a) FINRA Filing Requirements
(1) As set forth in paragraph (c)(2) of Rule 2210, a member must submit all retail communications concerning security futures to FINRA's Advertising Regulation Department at least 10 business days prior to first use.
(2) The requirements of this paragraph (a) shall not be applicable to:
(A) retail communications concerning security futures
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Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating
B&D CAPITAL PARTNERS, LLC211 EAST BLVD., CHARLOTTE, NC 28203-4719B. C. ZIEGLER AND COMPANYONE NORTH WACKER DRIVE, SUITE 2000, CHICAGO, IL 60606B. RILEY SECURITIES, INC.11100 SANTA MONICA BLVD, SUITE 800, LOS ANGELES, CA 90025B. RILEY WEALTH MANAGEMENT40 SOUTH MAIN, SUITE 1800, MEMPHIS, TN 38103B.B. GRAHAM & COMPANY, INC.1700 W. KATELLA AVE., ORANGE, CA 92867BA SECURITIES, LLCFOUR
In late May, certain amendments to FINRA's margin rule, Rule 4210, went into effect to address a significant source of potential systemic risk and risk to FINRA member firms. The amendments introduced specific margin requirements related to covered agency transactions. On this episode, we learn more about the purpose of the change and what firms need to think about to ensure compliance.
Dear Sirs: I am providing the following information in response to the possibility that FINRA is apparently in the process of promulgating restrictions that may cause severe harm to my ability to take advantage of the current system that allows investment in public securities and ETFs. As such, my ability to provide financial support to myself, my wife, and my immediate family may be destroyed
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Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
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The work of the NASD's Board of Governors standing committees is essential to
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Executive Summary
The purpose of this Special Notice to Members is to announce thenominees for the District Committees and the District Nominating Committees. The individuals
INFORMATIONAL
District Elections
SUGGESTED ROUTING
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Legal & Compliance
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District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice to Members
Geetha Ramachandran has spent her entire career working in the technology industry, and she’s passionate about innovation and finding solutions to complex problems. At FINRA, she leads teams in building and delivering enterprise solutions with a focus on automation and development operations. In part one of the three-part series, Tech Journeys: Women in Technology & the Evolution of the Industry, Geetha gives us a snapshot of her personal technology journey and how she’s kept up with innovations.
INFORMATIONAL
District Elections
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Legal & Compliance
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Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the
