FINRA’s Financial Intelligence Unit (FIU) and Vulnerable Adults and Seniors Team (VAST) are issuing this Threat Intelligence Product (TIP), which provides an overview of FINRA’s observations regarding the vulnerability of senior investors to investment scams, the devastating consequences for the victims and the importance of education about financial scams to prevent initial victimization and re-victimization.
(a) The Director will not serve any claim that is deficient. The reasons a claim may be deficient include the following:
(1) A Submission Agreement was not filed by each claimant;
(2) The Submission Agreement was not properly signed and dated;
(3) The Submission Agreement does not name all parties named in the claim;
(4) The claim does not specify the customer's city and state at the
The following frequently asked questions provide information about the Central Registration Depository (CRD).
Inverse fund are an important check on the stock market. I believe that individual investors, when informed of the risks involved, should be able to choose to invest in these funds.
I'm an informed investor and aware of the possible risks involved so please don't take away the freedom of what I want to do with my money.
As a retiree with long service in paying taxes and abiding complexity. This proposed change
Serves no benefit to citizens making informed choices to invest in public equities.
These products have been around for years with no 'damage' to any investors. Informed investors are fully aware of the risk associated with both Inverse and Leveraged ETFs.
Hello, I dont want my rights limited in terms of my investment choices. Im an informed investor and dont want to lose access to these funds.
Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees and Hears Latest on FINRA’s Advanced Analytics Strategic Initiative
It's about time. The retail investor deserves access to the same information institutional investors have.
