FINRA Announces Updates of the Interpretations of Financial and Operational Rules
I believe that people in the US have the freedom to choose how they conduct their lives if they are not harming others. This right applies to financial choices and the choosing of investment opportunities that are publicly available to all investors. It would be unfair should only the top 1% of wealthiest investors be allowed to fully utilize the financial markets and smaller investors be
FINRA Grants Additional, Temporary Relief from the Net Capital, Reserve Formula, Non-purpose Loan, and Maintenance Margin Requirements Applicable to Credit Extended on Auction Rate Securities to Broker-Dealers That Agree to Buy Back Auction Rate Securities; Effective Date: November 4, 2008
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Natural disasters can bring out the worst in some people, some of whom seek to exploit the situation to commit financial fraud. Learn how to spot and protect yourself from potential disaster-related investment scams.
It is important that regular investors are not limited in what they can do. It is unfair and unAmerican if only the very wealthiest can participate fully in the financial markets, restricting the growth of wealth to the top 1% or less. Please do not restrict the rights of those fortunate enough to have money to invest.
Given the growth of the international prime brokerage (IPB) business, FINRA recently interviewed representatives from many of the largest prime brokerage firms to determine how this business is conducted.
Guidance on Liquidity Risk Management Practices
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.
