Thank you for the opportunity to comment on the proposed changes to "Complex Products" like L&I Funds, etc. Apparently once again the government thinks that all Americans are idiots. Concern that investors may be "confused" by "complex products" - I find this attitude highly offensive. I would very much prefer that you leave
To whom it may concern;
It is deeply disturbing that thee are proposed limitations on leveraged and inverse ETFs being discussed. Although concerns are valid that these investments do carry increased risk, anyone who does their due diligence reading the forms and prospectuses and looking at the one, five, and ten year charts can see whether the investment is a hedge/short term only (most inverse
Proposed Amendments to Qualification Examination Fees in Section 4(c) of Schedule A to the FINRA By-Laws
This webcast focuses on what firms should expect from the Anti-Money Laundering reviews conducted as part of FINRA's routine examinations. We will review how FINRA examiners will check to make sure you have appropriate AML procedures in place, and you will learn what we expect of you and what you should expect from us during the AML part of an exam.
The following charges shall be paid by participants for use of the FINRA/Nasdaq Trade Reporting Facility. In the case of trades where the same market participant is on both sides of a trade report, applicable fees assessed on a "per side" basis will be assessed once, rather than twice, and the market participant will be assessed applicable Trade Report Fees as the Executing Party side
Monday, May 135:00 p.m. – 7:00 p.m.Registration & Information5:00 p.m. – 7:00 p.m.New Attendee Reception Tuesday, May 147:30 a.m. – 6:00 p.m.Registration & Information8:30 a.m. – 10:00 a.m.Continental Breakfast & Seating10:00 a.m. – 10:45 a.m.Plenary Session – Welcome Remarks and Fireside ChatSession Description: Join this session to hear perspectives from FINRA
(a) Definitions
(1) For purposes of this Rule, the terms "CAT NMS Plan", "Industry Member", "Operating Committee", and "Participant" are defined as set forth in Rule 6810 (Consolidated Audit Trail—Definitions).
(2) "Subcommittee" means a subcommittee designated by the Operating Committee pursuant to the CAT NMS Plan.
(3) "CAT
« Previous: How to ApplyThe Membership Application Program (MAP) Group conducts an initial assessment of each New Member Application (NMA). After receiving a New Membership Application, FINRA must review and process it within 180 calendar days.The following is a look at how the process works.Preliminary Review Evaluate Against Standards for AdmissionAmendments to an ApplicationMembership
(a) If a participant of a registered clearing agency has a fail to deliver position at a registered clearing agency in a non-reporting threshold security for 13 consecutive settlement days, the participant shall immediately thereafter close out the fail to deliver position by purchasing securities of like kind and quantity.
(1) Provided, however, if a participant of a registered clearing
NASD, in conjunction with an industry working group, developed the outline provided below in response to Recommendation J of the Report of the Joint NASD/Industry Task Force on Breakpoints, which recommended that member firms provide enhanced training regarding mutual fund breakpoint discounts.
This outline is intended as a model of the critical topics that firms should address in training
