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Regulatory Notice 19-18 FINRA.org
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Understanding a Tender Offer
WebMay 1, 2012 · The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about the effects of chills and freezes on an investor’s ability to hold and trade securities. A “chill” is a limitation of certain services available for a security on deposit at The Depository Trust Company (“DTC”). A “freeze,” formally referred … WebCheck with the finance company directly before signing anything. It’s been known for some dealerships to attempt to sneak in an extended service contract without your knowledge. Always read your papers carefully and if you notice a fee for a service warranty you didn’t ask for, get it removed before signing your loan document. WebMay 6, 2024 · This Notice is intended to assist broker-dealers in complying with their existing obligations under BSA/AML requirements and does not create any new requirements or expectations. In addition, this Notice incorporates the red flags listed in NTM 02-21 so that firms can refer to this Notice only for examples of potential red flags. gma deals and steals today peepers