WebPursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)1 and ... SR-FINRA-2014-025); see also Regulatory Notice 14-43 (October 2014) (SEC ... 16 FINRA notes that members that have elected to be treated as capital acquisition brokers (“CABs”) would be subject to the proposed rule change to the extent that ... WebAug 6, 2024 · Moreover, in April 2024, FINRA sent a notice to members reminding them that, “[r]egardless of whether the account is self-directed or options are being recommended, members must perform due diligence on the customer and collect information about the customer to support a determination that options trading is appropriate for the customer.”
20582 Federal Register /Vol. 88, No. 66/Thursday, April 6, …
Web2 filed by an associated person separate from a customer arbitration (“straight-in request”); (2) establish a roster of experienced public arbitrators from which a three-person panel4 would be randomly selected to decide straight-in requests (the “Special Arbitrator Roster”);5 (3) establish procedural requirements for expungement hearings; and (4) codify and … WebComments must be received by June 11, 2024. Comments must be submitted through one of the following methods: 00 Rule 6750 Emailing comments to [email protected]; or 00 Mailing comments in hard copy to: 1 Regulatory Notice 19-12 Trade Reporting and Compliance Engine (TRACE) FINRA Requests Comment on a Proposed Pilot Program nouba staminal foundation light
"FINRA Guidance: When a Broker Leaves" - Shumaker, Loop
WebApr 9, 2024 · FINRA has previously updated the Interpretations of Financial and Operational Rules on its website in Regulatory Notices 08-56, 13-44, 14-06, 14-12, 14-25, 14-38, 15-25, 18-03 and 18-42. FINRA member firms and others that maintain a hardcopy version of … WebSep 13, 2016 · FINRA proposes to raise the limit on gifts to allow broker-dealers to be $75 more generous in their gift giving; the proposed rule 3220 amendments would increase the gift cap from $100 to $175 (apparently to capture inflation since the original adoption of the $100 cap). The cap applies to anything of value that a FINRA member or its associated ... WebMay 16, 2024 · FINRA issued Regulatory Notice 22-11 in April to remind broker-dealers of their obligations in the sale of alternative mutual funds to their clients. FINRA explained that it published this guidance because of a number of recent enforcement actions it took against firms selling this product. However, upon closer inspection, 22-11 is simply FINRA ... noubar afeyan wealth