• Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements
• Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
• Backing Away
• Best Execution—Failure to Comply With Requirements for Best Execution
• ECN Display Rule—Failure to Comply
with almost 50 years of investing and advanced degrees and a CHFC certificate to boot, i really enjoy having to sit for a test by someone who has no idea what is my situation. adds delays to investing that may be costly. millions of people are waiting for refunds for the past few years. not enough staff to process and old computers systems etc. how will this bad system be any better. waste of
Hurts Investors: It could potentially deny you the freedom to choose investments that could
help you achieve long-term financial security.
Is Arbitrary and Unworkable: FINRAs definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used public securities. Tests or
criteria to determine investor understanding are subjective and could lead to
FINRAs scheme is misguided because it: Hurts Investors: It could potentially deny us the freedom to choose investments that could help us achieve long-term financial security. Is Arbitrary and Unworkable: FINRAs definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used public securities. Tests or Upends Our Regulatory System: Under the
Portfolio Resources Group, Inc. appreciates the opportunity to comment on Regulatory Notice 22-08 published by the Financial Industry Regulatory Authority (FINRA). We support FINRAs investor protection mission and commend FINRA for reminding members of their current regulatory obligations. However, we are deeply concerned that FINRA is considering a series of radical and unprecedented regulations
Transitional Broker LLC appreciates the opportunity to comment on Regulatory Notice 22-08 published by the Financial Industry Regulatory Authority (FINRA). We support FINRAs investor protection mission and commend FINRA for reminding members of their current regulatory obligations. However, we are deeply concerned that FINRA is considering a series of radical and unprecedented regulations that
December 1998
SEC 1999 BD-Y2K Independent Public Accountant's Report
As discussed in earlier issues of Notices to Members, and in other National Association of Securities Dealers, Inc. (NASD®) publications, the Securities and Exchange Commission (SEC) adopted an amendment to its Rule 17a-5 requiring that broker/dealers file Year 2000 readiness reports (BD-Y2K); the first report was due
An automatic retirement plan offers one or more features that require no action from you, the employee. The most common automatic feature is enrollment. These five tips can help you make the most of your company’s automatic features.
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a
