Dear Regulators,
I should be able to make my own investment decisions in publicly traded assets based on my understanding of the risks involved in leveraged, Covered Call, inverse, and non K1 commodity funds without the burden of passing additional tests and the elitist nonsense of minimum asset amounts. My traditional "conservative" stock/bond mix portfolios have all dropped
Summary
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 25, 2022 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that, pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading
Saving for retirement can be daunting, so it’s no surprise that employer-sponsored retirement plans can be a key stepping-stone into the world of investing—and through your investments, to a healthy retirement nest egg. Don’t have access to an employer-sponsored plan? No problem. Here are 5 ways to start saving today.
The Neutral Corner - Volume 3—2018
Mission Statement
Special Proceeding for Simplified Arbitration
Office of Dispute Resolution and FINRA News
Case Filings and Trends
DR Portal News
Use the Most Current Version of Scripts and Forms
Tenth Annual Securities Dispute Resolution Triathlon (October 13 – 14, 2018)
2018 Demographic Survey
New York State Bar
NASD Rule 2510 - Discretionary Accounts - Application of NASD Rules 3110, 2510, 2310, and IM 2310-2 to a default IRA account established by plan sponsor in accordance with Department of Labor safe harbor provisions.
<p>A member that is an investment adviser may pay a non-member certain fees and not violate Rule 2420 if the fees paid to the non-member (a) strictly follow the requirements of Rule 206(4)-3 under the Investment Adviser's Act of 1940; and (b) are paid from fees and other income that the member has received in its capacity as an investment advisor.</p>
INFORMATIONALTrade DateSettlement DateThis version corrects the Trade Dates and Settlement Dates for Columbus Day 2005.SUGGESTED ROUTINGKEY TOPICSInternal AuditLegal and ComplianceMunicipal/Government SecuritiesOperationsTrading and Market Making Holiday Trade DateSettlement Date Schedule Martin Luther King, Jr., Day:Trade DateSettlement Date ScheduleThe Nasdaq Stock Market®
The following are details of FINRA's policy for the retransmission of FDIC-Backed bonds available via the BTDS (corporate bond) data feed.
This data provides comprehensive information on to-be-announced (TBA) securities that traded within the past 10 years. A TBA security is effectively a contract to buy or sell mortgage-backed securities on a specific date. Learn more about TBA securities and other bond types.
Fixed Income data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S
Summary
This Notice shares key operational changes in FINRA’s Membership Application Program (MAP) implemented to improve its effectiveness and efficiency (MAP Transformation), including establishing a centralized application intake function and aligning the program with the firm grouping model developed by FINRA’s Member Supervision Department during its recent transformation.
Applicants are
