Sec. 8.15 The Independent Agent shall set aside a ballot if: (a) the ballot is received from a FINRA member eligible to vote in the district and the ballot is signed by a person who is not the Executive Representative listed on the vote qualification list prepared under Section 8.12, and the Secretary of FINRA has not received proper notice of a change in Executive Representative
FINRA Requests Comments on Proposed Changes to Forms U4 and U5; Comment Period Expired: May 27, 2008
As prepared for delivery.
I would like to discuss with you today the important question of the appropriate standard of care for brokers and dealers or, more directly, whether the time has come to require broker-dealers, when recommending a security or strategy to retail investors, to ensure that the recommendation is in the “best interest” of the investor.
A “best interest” or “fiduciary”
2015 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
2016 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Find attorneys and law clinics skilled in arbitration and mediation. Connect with legal experts committed to resolving financial disputes at FINRA.
Brokerage accounts allow investors to buy and sell numerous types of investments. When opening a brokerage account, investors have two main options: a cash account or a margin account. The difference between them is how and when you pay for your investments.As the name suggests, when you buy securities with a cash account, you must do so using cash, paying for the purchase in full. If you want to
What does Ombuds mean? Ombuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”
When you buy a stock, you're buying part ownership of a company and an opportunity to partake in its successes (or failures) over time, but it can be hard to compare different stocks. A company’s earnings per share (EPS), price-to equity ratio (P/E) and other ratios can help you compare companies of different sizes.
Remarks by Richard Ketchum From the 2014 FINRA Annual Conference
