Background
FINRA is pleased to announce a new centralized, secure file transfer platform called fileX, which enables firms to programmatically send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for downloading files from FINRA, and allows for seamless and secure authentication and authorization
FINRA’s NAC Revises the Sanction Guidelines
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Fairness of markups and markdowns charged by members in principal equity transactions with customers has become an increasingly important
The Reg BI and Form CRS topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
It is most imperative that action to restrict my right to invest be stopped now. I should have the right to choose the public investments for myself and my family. I should not have to pass a test nor get any kind of special approval. I am perfectly capable of understanding leveraged and inverse funds and their risks. It is important I continue to have the right to make my own decisions on how to
Been investing on a number of crypto currency. No has the right to control or force me to go through anyone or control my actions. If I Lose, that's on me. If I gain, that's on me as well. I'm sick and tired of people thinking they have to put there hand in on money they have no right to have. In the 1st place. If I choose to have aid. I will choose to Go to That aid
To whom it may concern,
Leveraged and inverse funds are an important vehicle to my investment strategies. I believe I should be able to make the decisions on how to allocate my capital by myself, without a use of a 3rd party agency and be free to invest in a vehicle of my choosing. Please consider this letter as a voice against the action to limit the ability to freely invest in leveraged and
As a 91 yr-old with over 70 years of experience in the Securities Markets__15 of those years as a Registered Broker__I have witnessed countless examples of inept actions by Big Govt. "Hedge Fund" connotes dodgy transac- tions in the view of most. And yet the basic strategy's been used with commodities, insurance and debt securities for 100's of years to REDUCE "risk
INFORMATIONAL
Temporary Cease and Desist Orders
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Cease and Desist Proceedings and Orders
Executive Summary
On May 23, 2003, the Securities and Exchange Commission (SEC) approved an NASD proposed rule change that gives NASD the authority to impose and
On behalf of myself and private investors, the fact that a governing body would consider restricting investment choices to and from certain individuals is absurd and wholly un American. It is nobodys place but the investor themselves to determine what they put their money into and how they choose to invest. I, along with, I'm certain many other Americans firmly believe that it is not your
