FINRA shares an annual snapshot of some of the data collected in the course of its work to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals.
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About the Data
Data Description
The FINRA Industry Snapshot provides a high-level overview of the industry, ranging from the number of FINRA-registered individuals to the
I strongly believe it is of the utmost importance that the general public be allowed to invest in these publicly available securities. They allow people with smaller amounts of capital to get the exposure they need to the market, and invest for they and their family's future financial well-being. Limiting these investments to professionals or only those with high capital would be class
When it comes to financial products that offer diversification, investors have no shortage of choices. Unit investment trusts are just one of those options.
Summary
Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning, including whether their business continuity plans (BCPs) are sufficiently flexible to address a wide range of possible effects in the event of a pandemic in the United States. Each member firm is also encouraged to review its BCP to consider
I strongly oppose restrictions on my right to invest in public investments such as leveraged and inverse funds. I use these funds as a hedge to help diversify and protect my other investments. Im concerned that government intervention in these financial instruments will destroy their ability to provide safety and protection to my investment portfolio.
Investing can be very dangerous. Investing
N.A. INVESTCORP LLC280 PARK AVENUE, 39TH FLOOR, NEW YORK, NY 10017N.B. ZOULLAS SECURITIES, INC.ONE PENN PLAZA, SUITE 2005, 20TH FLOOR, NEW YORK, NY 10119N.E. PRIVATE CLIENT, LTD790 NORTH MAIN STREET, PROVIDENCE, RI 02904N.I.S. FINANCIAL SERVICES, INC.500 EAST 9TH ST., KANSAS CITY, MO 64106Mailing Address: P. O. BOX 219103, KANSAS CITY, MO 64121-9103NABSECURITIES, LLC277 PARK AVENUE, 19TH FLOOR,
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Publication Date: March 31, 2025Interpretations are marked in blue background beneath the rule text to which they relate.17a-5 Reports to be made by certain brokers and dealers.This section applies to the following types of entities: Except as provided in this introductory text, a broker or dealer, including an OTC derivatives dealer as that term is defined in § 240.3b-12 registered
(a) All partnership articles and all amendments thereto shall be submitted and be acceptable to the Exchange prior to becoming effective.
(b) The charter or certificate of incorporation and all amendments thereto, the by-laws and all amendments thereto, forms of stock certificates and any and all agreements or other documents and amendments thereto relating to the business or affairs of the
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
(a) All partnership articles and all amendments thereto shall be submitted and be acceptable to the Exchange prior to becoming effective.
(b) The charter or certificate of incorporation and all amendments thereto, the by-laws
Hi FINRA,
How are you?
I believe in democratizing investing and having the freedom to choose any one or more of several asset classes of investments that I want because I believe in individual freedom of choice of investments since that is true democracy and capitalism.
We do not need central planning by the government because this is not Russia or China. This is the United States of America.
I
