The Issue Management System allows firms to comply with FINRA Rules 6760 (Underwriter Obligation to Provide Notice), 6730 (Transaction Reporting), or 6620 (OTCE Symbol Request; it allows firms to:submit new issues;save draft submissions;make changes and updates to previously submitted issues;submit new issues in bulk via a file upload; andview the status of submissions.AccessPlease consult your
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA on proposed policies and
While I am not 100% opposed to new regulation on these complex products, I do want to caution that this could cause unintended consequences. For example, if I could not access leverage through options or through leveraged ETP's, both of my brokers currently charge me 8% or more on margin interest.
How does this help me to pay over 7% more than the Fed Funds rate? It helps and protects
You think you’re arguing from a position of strength. You think asking for the public to comment you’re assuaging the masses. You think we think you’ll actually do something honorable and equitable in response to this open comment forum. We know better. It’s all coming out now. Again. We know you’ve rigged the game and corrupted the market. We know you only pay lip service when moralizing an open
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IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III, Section 35 of the NASD
<p>In an order settling an enforcement action by the Commodity Futures Trading Commission, an undertaking not to apply for registration for period of three years operates as the functional equivalent of an order suspending registration. One who consents to such an undertaking is statutorily disqualified from registration under Article III, Section 4 of the NASD By-Laws.<br />
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SummaryFINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees, and, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently elected and appointed to the SFAC, Regional
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Executive Summary
On November 3, 1998, the
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Thanks very much, Lee [Covington], and it's great to be with you today. Your introduction was very kind, but when you really get down to it, you described two things of significance to this audience: one of which is I didn't seem to be very good at holding a job, and the other which is sadly, I'm one of your Baby Boomers that needs to think
Benchmarks play a valuable role for investors, providing a standard against which to measure an investment’s performance. Weighing the return on a particular stock, bond mutual fund or exchange-traded fund (ETF) against a comparable benchmark can help investors make more informed decisions on how to invest.
