Hello, and good day to you. This was a very involved read, and thanks to the hands that prepared it. I am a "retail investor", and I would just like to say, don't tell me how to spend my money under the guise of "offering protections to the less wealthy". Any regulations regarding "complex products" should deal solely with the broker of such products. If I'
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceOperationsSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has affirmed a finding by the NASD Board of Governors that a member firm, by accepting a customer's limit order, had an obligation to give that
In relationship investment scams, fraudsters often hide their true identities, reach out to unsuspecting targets (often online or through text messages), gain their trust over time, and then defraud them through fake investments. These scams are sometimes referred to by terms including romance scams, “cryptocurrency” investment scams, financial grooming scams, and “pig butchering scams.” Learn more about these scams and red flags to watch for.
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission has recently approved an amendment to the Interpretation of the Board of Governors, "Forwarding of Proxy and Other Materials," under Article III, Section 1 of the NASD Rules of Fair Practice.1/ This amendment, which became effective on April 1, 1985, establishes a surcharge which may be charged by
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the fourth quarter of 1984. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
84-52
October 5, 1984
Next NASDAQ/NMS Phase-
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq National Market securities that
Each registration category has a default base qualification exam. Starting in January 2023, if a registration category was obtained by a passing alternate qualification exam, a “Credit” for the default base exam(s) is added to the individual’s exam information in their CRD record. This information is viewable in their FINRA Gateway profile as well as the Qualifications area in FinPro.
 
(a) A member shall use the facilities of a securities depository for the book-entry settlement of all transactions in depository eligible securities with another member or a member of a national securities exchange or a registered securities association.
(b) A member shall not effect a delivery-versus-payment or receipt-versus payment transaction in a depository eligible security with a
Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is a not-for-profit organization that oversees U.S. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence.
With a new year come new financial challenges, resolutions, and investment risks. On this episode, FINRA’s Head of Investor Education shares insights on leveraging market trends and tools to achieve your money goals in 2025.
