SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
As of June 22, 1999, the following bonds were added to the Fixed
TO: All NASD Members and Other Interested Persons
ATTENTION: Direct Participation Programs Department
The Association's Direct Participation Programs Committee ("Committee") has become concerned about the continuing proliferation of sales incentives provided by the sponsors of public direct participation programs. The Committee and the Board of Governors have approved a proposed
I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date Is September 19, 1983
Enclosed herewith is a proposed new rule under Article III of the Rules of Fair Practice. Proposed Section 38 was approved by the Association's Board of Governors and now requires the approval of the membership. If approved, it must then be filed with, and approved by,
.Report_TOC {
border:1px solid #cccccc;
padding:10px;
}
.Report_TOC a {
font-weight: 600;
}
.Report_TOC ul li {
font-size:.75em;
line-height:1.6em;
margin-bottom:5px;
}
.backtotop {
font-size: .75em;
line-height:1.6em;
}
.backtotop a {
font-weight: 600;
}
img.snapshot {
display: block;
margin: 0 auto;
height: auto;
width: 80%;
max-width: 80
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Dear Regulators,
Thank you for overseeing and protecting the average retail investor from complicated and leveraged investments. I have used the leveraged TQQQ and UPRO to great effect and done so intelligently, I think. I would love to continue using these products as they match my aggressive investment thesis and knowledge. I have done well as a result of these products and am well aware of
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of March 22, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ARGI.GE
American Restaurant Group Inc
(a) Terms used in this Rule shall have the same meaning as those defined in the FINRA By-Laws and rules unless otherwise specified herein.(b) "Direct participation program" or DPP, means a program which provides for flow-through tax consequences regardless of the structure of the legal entity or vehicle for distribution including, but not limited to, oil and gas programs, real estate
The ways in which people communicate have changed with advancements in technology, and so have the tactics of “cold calling” boiler rooms. Today’s boiler rooms go beyond the telephone to contact potential investors, including pitching through messaging apps and social media. Regardless of the method of contact, the scammer’s goal and many of the red flags are the same.
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.
