SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests membership comment on a proposed Corporate Financing Rule that, if
(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Emerging Growth Company" has the same meaning as in Section 3(a)(80) of the Exchange Act.
(2) "Equity security" has the same meaning as defined in Section 3(a)(11) of the Exchange Act.
(3) "Independent third-party research report" means a third-party research report
Summary
FINRA has amended the requirements relating to Covered Agency Transactions that FINRA originally adopted in 2016. Covered Agency Transactions include (1) To Be Announced transactions, inclusive of adjustable rate mortgage transactions, (2) Specified Pool Transactions and (3) transactions in Collateralized Mortgage Obligations, issued in conformity with a program of an agency or
Good afternoon and thank you for inviting me to spend some time with you discussing complex products. I'm sure you know that this has been a priority for FINRA examiners. I would like to share some of what we have learned so far.
I am a small private investor who uses inverse and leveraged funds to protect my modest portfolio from from adverse market moves. Hampering my ability to use these investment vehicles would be a travesty of freedom and unamerican. DO NOT hinder my ability to protect my family and my retirement funds from these form of protection. YES...protection! Because that is exactly how they are used by
The Annuities Securities Products topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
September 17, 2019
9 a.m. - 1 p.m.
Delta Hotels by Marriott Baltimore Inner Harbor
1 E Redwood St.
Baltimore, MD 21202
(410) 234-8950
Topics
Outside Business Activities and Private Securities Transactions
Social Media and Digital Communications Compliance
Register - $195
Year 2000 Update Reminder To Members About SEC Filing Requirements
The Securities and Exchange Commission (SEC) recently amended its Rule 17a-5 to require all broker/dealers to file two reports concerning Year 2000, using Form BD-Y2K (Form). All members received this information available through NASD Special Notice to Members 98-63.
The new reports relate to each member's readiness and
FINRA has provided transparency to over-the-counter equities (OTCE) trading for years through its public website.
Remarks by Richard Ketchum From the SIFMA C&L New York Regional Seminar
