FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
From cryptocurrency to NFTs and other options beyond your 401(k), choosing the right investments to meet your financial goals can feel overwhelming.
FINRA Amends Electronic Form NMA and Adopts New Electronic Form CMA Filing Requirements
There are several regulatory implications that firms may wish to consider when establishing a presence in the cloud. It is important to keep in mind that although a firm may shift its technology infrastructure to a cloud environment, all of the regulatory requirements that are applicable in an on-prem environment continue to apply. However, cloud-based applications may contain some unique
Frequently Asked Questions (FAQs) about the logistical aspects of the Remote Inspections Pilot Program, including the opt-in process.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD Board of Governors has decided to move forward with plans to develop an industry-wide program of continuing education and assessment for the securities personnel registered with the NASD. The Board
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Trading
NASDAQ Exchange Registration
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to supersede NASD Notice to Members
(NTM) 06-37 and replace the guidance provided in that Notice
relating to the application of the Trading
I have no use for regulations that limit my investment choices. Free will and freedom to choose is essential to my American way of life. Authorities who make believe that they know more about me than I know about myself have exceeded the limits of government of the people, by the people, for the people. Authoritarians war against my freedom of choice and in no way represent my own best interests
I am strongly opposed any additional regulations to leveraged and inverse securities. All investments have an element of risk; by requiring a list of pre-requisites to trading these securities, you decrease the investor base with access which could add to increased volatility as well as making the acquisition and disposition of said securities much more difficult. Additionally, further
TO: All NASD Members
There appears to be a growing practice among member firms to offer their retail customers a service whereby debit balances created by the purchase of securities in the customer's cash account with the member will be automatically satisfied by the redemption of shares of a money market fund. This practice is distinguishable from what have been called "account
