Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities).
Information for CandidatesEligibilityCandidate Information in FINDInformation UseAutomatically Opted OutFees for CandidatesContactsInformation for Broker-Dealer FirmsInformation for Candidates^ Back to topEligibility1. Am I automatically signed up for FIND?No, you must actively opt in to FIND.2. I did not opt in to FIND when I enrolled for the exam. Can I still opt in?Yes, you may still opt in
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Executive Summary
On December 3, 1998, the
SummaryFINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November.
I think some basic online information for informed consent and modest means should be sufficient for most investments. The current accredited investment limit severely restricts the ability to become an accredited investor. These limits should be much lower.
Please make it so data is not hidden from the retail investor. Information is king and the only way to even the playing field is to have equal information.
A member firm may include related performance information in institutional communications concerning Section 3(c)(1) Funds, subject to the stated conditions discussed in the letter.
The hackathon is designed to provide technology staff with foundational security knowledge as well as the opportunity to practice mitigating security risks like broken access control, cross-site scripting, security misconfigurations, injection attacks and more. The planning team works with a vendor to create three cyber ranges to practice security hacking at beginner, intermediate and advanced levels.
Rule 603 of Regulation NMS (Vendor Display Rule) generally requires broker-dealers to provide a consolidated display of market data for NMS stocks for which they provide quotation information to customers.
