Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
FINRA Issues Guidance on Master and Sub-Account Arrangements
U. S. BOSTON CAPITAL CORPORATIONLINCOLN NORTH, LINCOLN, MA 01773Mailing Address: 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA 01773U.S. BANCORP ADVISORS, LLC800 N BRAND BLVD., 16TH FLOOR, GLENDALE, CA 91203U.S. BANCORP INVESTMENTS, INC.60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107Mailing Address: 60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107U.S. BROKERAGE, INC.17 E KOSSUTH ST,
The Market Access Rule section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
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Retirement income management is all about making sure your retirement savings provide enough income for your needs, and that you don’t outlive your assets. This starts with setting up and managing a portfolio that's right for you.
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FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule
To Regulators,
I staunchly oppose the proposed requirements to invest in leveraged ETFs and funds. I have invested in these funds for over 10 years and am fully aware of the risks. I am capable of reading the prospectus and understanding these risks. As a former financial advisor and principal, I have ALREADY passed a series of tests that prove my investment knowledge. However, even if I had
This is unacceptable and as a shareholder I 100% oppose this. If our voices are not heard by the people managing our capital, I will be liquidating all assets.
