WebMay 9, 2024 · Re: FINRA Regulatory Notice 22-08, Complex Products and Options Dear Ms. Mitchell: The Securities Industry and Financial Markets Association (“SIFMA”)1 appreciates the opportunity to comment on Notice 22-08 (the “Notice”).2 The Notice raises regulatory concerns about Web6 See Regulatory Notice 10-51 (Commodity Futures-Linked Securities) (October 2010). 7 See Regulatory Notice 10-09 (Reverse Convertibles) (February 2010). 8 See …
FINRA
Web41 rows · FINRA publishes Notices to provide firms with timely information on a variety … WebApr 13, 2024 · Cost has dropped from $55 per cycle to $18 per year. Additionally, credits must be completed by December 31st. ... FINRA Issues Regulatory Notice 22-21 to Alert Member Firms of Rising ACATS Fraud ... spheric novo hamburgo
SECURITIES AND EXCHANGE COMMISSION notice is hereby …
WebDecember 15, 2024, 18 months from the Approval Date, except that the risk limit ... (June 21, 2016) (Notice of Filing of Amendment No. 3 and Order Granting ... and 3; File No. SR-FINRA-2015-036). 5 See Partial Amendment No. 3 to SR -FINRA 2015 036 and Regulatory Notice 16 31 (August 2016), both available at: www.finra.org. 6 Available at: www ... Web1, 2024.8 FINRA explained in Regulatory Notice 21-34 that FINRA would announce, in a separate Regulatory Notice, the first Evaluation Date no less than 120 calendar days before the 4 See Rule 4111(i)(15) (definition of “Restricted Deposit Requirement”). A … WebInclude fact, FinCEN notes that broker-dealers required next to comply with FINRA Rules, notwithstanding differences between the CDD Rule plus FINRA Rule 3310. See CDD Rule Release 29421, n. 85. 12. See CDD Regulatory Release at 29420; 31 CFR 1023.210. 13. See id. at 29420-21. 14. See id. at 29419. 15. See id. at 29421. 16. See id. at 29422. 17 ... spheric overwatch