BrokerCheck Release Notes
The market should be a fair market. That means everyone having the same info at the same time. There should be NO delay on information.
It’s easy to lose track of 401(k) accounts if you don’t take them with you. As the years go by, companies might be restructured, sold, or go out of business
Investors don't need unnecessary interference by big brother regulators in our investment choices. Requiring that clear information be provided is fine, but don't expect adults to go through testing or other restrictions.
It is unfair to take away these investment products from retail investors and traders while the institutions enjoy the access to plethora of information and sophisticated tools and algorithms to profit from the market.
As an informed investor --I would be limited in my options if my ability to invest in proshares inverse / leveraged funds -- pls leave them as is -- we know what we are doing
The proposed rule presupposes that most people are Incapable of making informed decisions about their investing. It is tantamount to prior restraint on the right of individuals to determine for themselves what companies they will invest in.
The prevalence of cybersecurity incidents continues to increase at FINRA member firms. As a result of the continued proliferation of cybercrime, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is issuing this advisory to highlight effective practices and considerations for member firms when responding to cyber incidents, including the benefits of voluntarily reporting information related to the incident to various entities.
If your firm (or other departments or divisions of your firm) is already an Equifax member then your firm needs to simply follow the steps below. There are no additional Equifax membership fees if your firm is already an Equifax member.
Complete an Equifax Membership Addendum: Existing members of Equifax should contact the Equifax Customer Service at 1(800) 796-6573 to request an Equifax
If your firm (or other departments or divisions of your firm) is already an Equifax member then your firm only needs to complete an Equifax Membership Addendum and follow the Equifax Existing Member Account Set Up Process. There are no additional Equifax membership fees if your firm is already an Equifax member.
If you are an NASD member firm that wants to create a new Equifax Member
