In both 2017 and 2018, FINRA issued Reports on Examination Findings in response to firms’ requests that we make publicly available a summary of key findings from FINRA’s examinations of member firms. Firms use this information, as well as effective practices observed by FINRA at certain firms, to anticipate potential areas of concern and improve their procedures and controls. (We subsequently refer to the two prior years’ documents as the “2017 Report” and the “2018 Report.”)
I do not initiate any investments on margin. I use my own funds for investing in leveraged etfs. If a firm wants to provide leverage for me with their investment vehicle, I should have the right to utilize it without any interference from your organization. The last time I checked, this is still a free country, although sliding into the abyss, rapidly thanks to organizations like yourself. It is
I oppose restrictions to my right to invest in TQQQ, SQQQ and other leveraged products. I have been investing in these products for years and they are no more risky that any other stocks in the market. Anybody trading in the market has to understand that there is risk involved and chooses to take that risk...regulators should not try to babysit investors by trying to tell them which stock or fund
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
Effective with the SEC's approval on September 25, 1986, an amendment to the NASD Board of Governors' Free-Riding Interpretation provides limited exemption for certain persons purchasing "hot issue" securities in connection with the conversion to stock ownership of mutual savings and loan associations,
As previously announced FINRA plans to replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website in April of 2021.
A final FINRA production User Acceptance Test (UAT) will occur on Saturday, April 10, 2021. Firms must register with FINRA Market Operations of their intent to participate in the UAT via an email&
As previously announced FINRA plans to replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website in April of 2021.
A second FINRA production User Acceptance Test (UAT) will occur on Saturday, March 20, 2021. Firms must register with FINRA Market Operations of their intent to participate in the UAT via an email
When used in these By-Laws, unless the context otherwise requires, the term:
(a) "Act" means the Securities Exchange Act of 1934, as amended;
(b) "Board" means the Board of Directors of FINRA Dispute Resolution;
(c) "broker" shall have the same meaning as in Section 3(a)(4) of the Act;
(d) "Commission" means the Securities and Exchange
FINRA Provides Guidance on Advertising Regulation Issues
SEC Approves Amendments to NASD Rule 2821 Governing Purchases and Exchanges of Deferred Variable Annuities
On This PageFAQ Applicable to FINRA's Fingerprint ProcessFAQ Applicable to All FirmsFAQ Applicable to Broker-Dealers FirmsFAQ Applicable to Funding PortalsFAQ Applicable to Investment AdvisersFAQ Applicable to FINRA’s Fingerprint ProcessQ1: Which firm personnel are required to be fingerprinted?A1: Pursuant to Section 17(f)(2) of the Securities Exchange Act of 1934, (15 USC 78q(f)(2)),&
