Registration Code Classifications
Use this checklist to safeguard your sensitive information and help keep identity thieves at bay.
E.1. The phrase business as such under Exchange Act Rule 17a-4(b)(4) is not defined.34 What questions, concerns or challenges, if any, does this raise with respect to ensuring compliance with the recordkeeping requirements? Are there categories of records that are especially costly or difficult to capture or retain, and which may provide no appreciable regulatory benefit? <EA1: Ambiguity
Remarks From the SIFMA Compliance and Legal Division's Annual Seminar
I have been a Financial Advisor for 12 years and a day trader for the last 3 years. I understand that the PDT rule was put in place to help limit the risk of loss for individual investors however I do not believe it accomplishes that. Most brokerage houses will allow 4X margin to be applied to a brokerage account for investing/trading. By requiring $25,000 minimum equity to be a day trader this
November 2012 Supplement to the Options Disclosure Document
<p>Clarification of <i>NASD Notice to Members 96-33</i>: application of Rule 3040 to registered representatives of a distributor who also are employed by investment advisers to manage the portfolios of investment companies.<br/></p>
The following FAQ is provided to facilitate firms' compliance with FINRA Rules 5190 (Notification Requirements for Offering Participants), 6275 (Withdrawal of Quotations) and 6435 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M). A comprehensive overview of these rules and related guidance is set forth in Regulatory Notice 08-74 and Regulatory
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
The Market Access Rule topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
