The Cybersecurity section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from FINRA membership or other appropriate sanctions.
I support these initiatives. Full reporting on naked shorting as well. Heavy enforcement of shorting regulations and of these initiatives.
I believe this is a great idea to add transparency to the market place, and to add more TRUST to the market as well.
SummaryThe purpose of this Election Notice is to notify FINRA mid-size firms of a contested election for a mid-size firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots. The two open large firm NAC member seats are not contested; therefore, no election will be held for the large firm seats.Voting concludes in the NAC mid-size firm seat election on December 15, 2023
Leveraged ETFS can be an effective part of a well thought out strategy. Investors who choose to invest in them know the risks and rewards.
Everyone or no one. Complex strategies should not be limited the domain of the well connected and or large banking firms, while restricting access to the general population.
Think its, a fantastic program,if were getting rid of this might as well get rid of the stock market freedom is the ability to make choices,
I want to be able to buy them when I want. I am savy investor. If you sell me out now I will lose a lot a well.
If we can buy crypto and penny stocks, we should certainly be able to buy leverage stocks as well, if we so choose.
