Asset allocation means deciding what portion of your portfolio to invest in different asset classes, like stocks, bonds and cash. Diversification is the spreading of your investments both among and within different asset classes. And rebalancing means making regular adjustments to ensure you are hitting your target allocation. All are important tools in managing investment risk.
Representatives of broker-dealers, investment advisers or issuers of securities must use the Form U4 (Uniform Application for Securities Industry Registration or Transfer) to be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs). FINRA, other SROs and jurisdictions use the Form U4 to elicit employment history, disciplinary and other information about individuals to register them.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Training
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Article III, Section 21 of the NASD Rules of
Proposed Rule Change to Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
Update to Security Futures Risk Disclosure Statement and Supplement
Proposed Rule Change to Amend FINRA Rule 2360 (Options) Position Limits
NASD has filed with the SEC a proposed rule change to amend the pilot rule in IM-10100(f) of the NASD Code of Arbitration Procedure ("Code") that requires industry parties in arbitration to waive application of contested California arbitrator disclosure standards, to include claims by members against other members or associated persons that relate exclusively to promissory notes.
SEC Approval and Effective Date for New Consolidated FINRA Rules
Changes to Qualification Examination Fees
Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
