TO: All NASD Members and NASDAQ Subscribers
On October 5, 1983, the Securities and Exchange Commission adopted a rule change which will require all foreign issuers seeking inclusion in NASDAQ to be registered pursuant to Section 12(g) of the Securities Exchange Act of 1934. This registration requires foreign issuers to file periodic reports with the Commission similar to those filed by domestic
I am concerned about my future ability to invest in various types of products that I have utilised over the last few years. I have invested in inverse ETF's, currency ETF's, Leveraged ETF's, foreign country or market ETF's, etc.
I should have the right to invest in these vehicles for the benefit of my family, and not be told what I can and cannot invest in.
As a private investor, who invests to provide an income and retirement savings for my family the FINRA should not limit my access to public investments.
- You should not restrict access to public investments to those that can pass a test that limits access to public investments.
- You should not set income or net-worth limits on access to public investments.
- You should not provide provide
Comprehensive Automated Risk Data System
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Risk
Senior Management
Technology
Key Topics
Reporting Requirements
Referenced Rules &
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsSyndicateTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD is providing for members' use the Penny Stock Risk Disclosure Document as recently amended by the Securities Exchange Commission (SEC), which brokers/dealers are required to furnish
Filing Guidance - Public Offering Review
• Outside Business Activities—Failure to Comply With Rule Requirements
• Selling Away (Private Securities Transactions)
• Transactions for or by Associated Persons—Failure to Comply With Rule Requirements
Outside Business Activities—Failure to Comply With Rule Requirements
FINRA Rules 2010 and 3270
Principal Considerations in
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.
 
I understand the intention of three day trades per week was to reduce the risk and losses incurred. Over the years, it seems to have actually exposed traders to more risk. Allowing no more than three round trip trades in five business days has created a burden on traders as well as brokerage firms. Traders who wish to trade in small amounts to build capital typically do not have access to the
TO: All NASD Members, Associated Persons and Other Interested Persons
EXECUTIVE SUMMARY
NASD rules and policies consider associated persons of a member to be employees of the member, regardless of their locations or compensation arrangements. The notice addresses regulatory issues that relate to off-site employment of registered persons, including supervisory procedures, private securities
