Hi,
I would like to express my opinions on Regulatory Notice #22-08:
1.
How do members categorize products as complex? Have firms implemented categories or tiers of complex products and, if so, how have firms determined such tiers? What types of products have recently been introduced that should be viewed as complex? Does our description of characteristics that render a product complex continue
I strongly oppose SEC proposed rule #S7-24-15. My wife and I both have most of our life savings invested in IRAs, both traditional and Roth, with Fidelity Investments. A small but significant portion of our portfolio is currently in the ETF BITO. We were forced to use that ETF because we are not permitted by government regulations to directly own Bitcoin or any other cryptocurrency in our IRAs, a
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Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading
As of November 28, 1994, the following bonds were added to the Fixed Income Pricing System (FIPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
SHST.GA
Sheffield Steel Corp.
12.000
11/1/01
CMDC.GA
Charter Med. Corp
I’m not sure I understand how the DR Portal works. What is the process for initiating a new arbitration case and registering the party representatives to it?
How do I create an online account so that I can access the Dispute Resolution (DR) Portal?
I locked my account by mistyping my password several times. How can I unlock it?
How can I file my arbitration claim online?
Is the Online
Comment on SEC Proposed Rule #S7-24-15: I am a retail investor who has used leveraged ETF's for the past 12 years. I do not trade in these instruments but have purchased them over time, and have continued to hold them (all for at least five years). I monitor them daily and evaluate my portfolio vs the major indices on a weekly basis. I have included them initially at about 20% of my overall
Introduction: Guidance for Arbitrators on Requests to Produce Suspicious Activity Report Information
By Judith R. Starr *
Introduction by Alma Angotti **
Introduction
On October 26, 2001, President George W. Bush signed into law the USA PATRIOT Act (Patriot Act). Title III of the Patriot Act, entitled "International Money Laundering Abatement and Anti-Terrorist Financing Act of 2001,
The Neutral Corner—Volume 1, 2021
Mission Statement
Understanding the Assertion of Legal Privileges in Arbitration Proceedings
(by Steven B. Caruso and Kenneth Crowley)
Bits, Bytes and E-Discovery Fights (by Lisa Miller, FINRA Arbitrator)
FINRA Dispute Resolution Services and FINRA News
COVID-19 Vaccine information for Hearing Purposes
COVID-19 Hearing Postponements and Virtual Hearings
Why do we engage with scammers? What makes one person more likely to engage than the next? Of those that engage, what makes someone more likely to lose money? On this episode, we dig into the research on these important questions with three academics in the field.
INFORMATIONAL
Subordination Agreements
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KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Broker/Dealer Financial and Operations
Executive Summary
On April 26, 2001, NASD Regulation, Inc. (NASD RegulationSM) staff reported to the Board of Directors that it would: (1) discontinue publishing the "
As part of its Transparency Services improvement initiatives, beginning in December 2022, FINRA will re- platform the OTC Reporting Facility (ORF) to a new Linux-based operating system. These changes will be implemented in addition to the Trade Data Dissemination Service (TDDS) protocol changes FINRA previously announced. Except for the timestamp changes listed below, all ORF trade reporting
