Re: Request for Comment on Day Trading Rules (Regulatory Notice 24-13)To Whom It May Concern:Jake P. Noch Family Office, LLC. (“JPN Family Office” or “we”) appreciates the opportunity to comment on FINRA’s review of the rules governing day trading and pattern day trading (the “Rules”). We commend FINRA for periodically reassessing the Rules in light of evolving market conditions, technological
Before you leave the military, take advantage of the many benefits the service provides, and make decisions about replacing those you may lose.
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Teaching kids about financial concepts and prudent decision-making can help them become financially proficient adults and deserves a spot alongside early learning basics. Learn four tips to help build their foundation for financial fluency.
Sec. 5.4 The Board may delegate the duties and powers of any officer of FINRA Dispute Resolution to any other officer or to any Director for a specified period of time and for any reason that the Board may deem sufficient.
Deleted by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-FINRA-2010-007 eff. Aug. 2, 2010.
Adopted by SR-NASD-99-21 eff. July 9,
Sec. 7.4 The Board may delegate the duties and powers of any officer of FINRA Regulation to any other officer or to any Director for a specified period of time and for any reason that the Board may deem sufficient.
Amended by SR-FINRA-2008-046 eff. Nov. 6, 2008.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.
Sec. 5. The Board may delegate the duties and powers of any officer of the Corporation to any other officer or to any Governor for a specified period of time and for any reason that the Board may deem sufficient.
Amended by SR-NASD-2007-023 eff. July 30, 2007.
Adopted by SR-NASD-97-71 eff. Jan. 15, 1998.
Training for the Securities IndustryNASAA, the SEC, and FINRA have provided this training presentation as a resource for the securities industry. Firms can use this presentation to train associated persons about how to detect, prevent, and report financial exploitation of senior and vulnerable adult investors. The training serves as a resource for firms implementing the requirements of the
Net Capital
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Credit Risk Management
Segregation of Assets and Customer Protection
Portfolio Margin and Intraday Trading NEW FOR 2022
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