Summary
FINRA alerts member firms to a rising trend in the fraudulent transfer of customer accounts through the Automated Customer Account Transfer Service (ACATS), an automated system administered by the National Securities Clearing Corporation (NSCC), that facilitates the transfer of customer account assets from one firm to another.
This Notice provides an overview of how bad actors effect
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
SUMMARY
In response to a request by the Association, the staff of the SEC's Division of Market Regulation has issued its views on frequently raised interpretive questions
Comments: My name is Maurice Edwards, and I have been using L&I investment vehicles (as well as other complex products like options) for many years and I don't want my financial opportunities to be regulated away. I spent the time picking up the knowledge and experience to use these assets, and after all that my outcomes are to my liking. My brokerage provides free and high quality
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(a) DefinitionsFor purposes of this Rule, the following terms shall have the meanings specified below:(1) The term "basket" shall mean a group of stocks that FINRA or any national securities exchange designates as eligible for execution in a single trade through its trading facilities and that consists of stocks whose inclusion and relative
The Outside Business Activities and Private Securities Transactions section of the 2021 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.
INFORMATIONAL
District and National Adjudicatory Council Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the
District Committees, the District Nominating Committees and the
National Adjudicatory Council (NAC). The
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the
nominees for the District Committees and the District Nominating
Committees.1 The individuals identified in this
Investor trust and confidence have plummeted to historic lows. But if there is a silver lining amidst these dark clouds, it is that the turmoil creates an opportunity to “fix the plumbing” of the U.S., and global, regulatory architecture – patching the leaks, but also modernizing the piping in such a way to promote market stability and investor confidence, and lay the groundwork for renewed growth and stability.
It is nakedly clear that the only group you stand to protect is the establishment who have a vested interest in the traditional financial markets going up and to the right indefinitely. However, as the government inflates away the value of our savings the only people who stand to gain from impending crashes are the already wealthy. Your arbitrary barriers are clearly designed to favor the wealthy
As a short term tool, buying inverse ETFs can be very valuable, and can actually help traders achieve financial objectives that they can not either otherwise achieve, or would require the use of riskier derivatives. Obviously, assets do not always rise, so trading just the long side means forgoing potential profit when assets decline. Also, using inverse ETFs during declining markets acts as a
