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Broker-Dealers
In the last several years, NFA has encountered several instances where brokers, who have been barred from NFA membership as a result of an NFA ...
March 6, 2003 Mark D. WigderJenkens & Gilchrist1445 Ross Avenue, Suite 3200Dallas, Texas 75202 Re: Request for no-action relief on behalf of Edward Mahaffy Dear ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-46920; File No. S7-48-02]RIN 3235-AI68Broker-Dealer Exemption from Sending Certain Financial Information to CustomersAGENCY:Securities and Exchange Commission ("Commission")ACTION:Proposed ...
A Member or Associate must consider the relevant facts and circumstances including, at a minimum, the following factors in discharging its obligation to use reasonable ...
NFA Member FCMs and IBs that solicit or accept orders or carry accounts for security futures products are also required to be registered as broker-dealers ...
SECURITIES AND EXCHANGE COMMISSION17 CFR PART 240[Release No. 34-40518; File No. S7-26-98]RIN 3235-AH04Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act ...