SEC Regulation Best Interest sets forth the standard of conduct broker-dealers must provide to their retail customers when they make recommendations of securities or investment strategies involving securities. Form CRS is a relationship summary disclosure that broker-dealers and SEC-registered investment advisers must provide retail investors.
While many of the most common scams—such as relationship scams and government impersonator scams—are carried out by unlicensed individuals and might not directly involve accounts held at investment firms, the losses can impact the overall wellbeing of customers, as well as the value of customer accounts.
Investment professionals and firms are welcome to leverage and amplify investor education resources from FINRA and other trusted organizations through your own communications channels, such as newsletters, websites and social media.
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, including but not limited to: advising companies and private equity funds on capital raising and corporate restructuring, andacting as a placement agent- or finder for sales of unregistered securities to institutional investors under limited conditions.providing fairness opinions, valuation
The Achieving a Better Life Experience (ABLE) Act of 2014 provided Americans with disabilities the opportunity to save in a tax-deferred account as a supplement to their government benefits.
On This PageOverview of Margin RequirementsExtensions of TimeInterpretations of FINRA's Margin RuleCustomer Margin Balance Reporting and Margin StatisticsPortfolio MarginCovered Agency Transaction MarginMargin Disclosure StatementsExternal ResourcesContact OGCOverview of Margin RequirementsThe terms on which FINRA member firms (brokers) can extend credit for securities transactions are
