Remarks From the LIMRA/LOMA 2015 Regulatory Compliance Exchange
Reserved MPIDBank NameTreasury (TS)Agency Debt (CA) & Agency MBS (SP)BACPBank of America, N.A. (Private Bank)xxBACTBank of America, N.A. (Corporate Treasury)xxBAGMBank of America, N.A.xxBMCHBank of Montreal, Chicago BranchxxBNYBBank of New York MellonxxBNSABank of Nova Scotiax BOKCBOKF, NAxxCASACredit Agricole CIBx CBKCCommerce Bankx CBNYCitibank, N.A.xxDBNYDBNY
Given their name, high-yield bonds might attract investors looking for products that offer the potential to increase their returns. But it’s important to remember that the level of return an investment might achieve generally correlates with its level of risk, and the bond market is no exception.
The following are rulemaking items the FINRA Board of Governors will consider at its December 2010 meeting - this information is being published to provide additional transparency in the rulemaking process.
NASD Regulation, Inc., has filed with the SEC the examination specifications and study outline for the Limited Representative-Private Securities Offerings (Series 82) examination program. The Series 82 examination program is proposed in connection with a proposed change to NASD Rule 1032 to implement Section 203 of the Gramm-Leach-Bliley Act of 1999 ("GLBA"), which requires the NASD, as
To whom it may concern. As a private investor, I should have the ability to choose investments that are right for me, and my family.... not the regulator!
Going through special processes such as a test BEFORE I can invest in public security such as leveraged and inverse funds, is limiting my freedom as an American citizen.
Leveraged and inverse funds are important investment strategies for me
This act is another form of financial oppression. The motives for why these ETF's are having access revoked is because the retail investor/general public can make too much money in eyes of the financial industry. They are not revoking access to protect us, the retail investors. They are revoking access to protect themselves, the financial institutions, from losing too much to retail
Effective Date: February 15, 1998
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Executive Summary
On November 4, 1997, in Release No. 34-39294, the Securities and Exchange Commission (SEC or
FINRA Requests Comment on a Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 8, 2018
As is our practice, we are marking the start of the new year by publishing our
