Annual Conference, FINRA's premier event, provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. This year it takes place May 13-15, 2025.
SUGGESTED ROUTING
Senior Management
Government Securities
Legal & Compliance
Operations
Executive Summary
The Department of the Treasury (Treasury) recently approved amendments to the financial responsibility requirements established under the Government Securities Act of 1986. The amendments raise the minimum capital requirements for all government securities broker/
The Market Access Rule topic of the 2025 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, (2) findings and effective practices, and (3) additional resources.
Comments:
I urge FINRA to continue with the existing policy that allows leveraged inverse funds to be treated as any other publicly tradable ETF fund.
Individual investors/retail investors should have the freedom of choice to engage in risky, short-term heavy assets.
The risks are already communicated in existing shareholder comms and broker dealings. Also most investors in these funds
P & M CORPORATE FINANCE, LLC10 SOUTH RIVERSIDE PLAZA, 9TH FLOOR, CHICAGO, IL 60606P G BOOLE, LLC18 NORTH MAIN STREET, SUITE 115, SHERBORN, MA 01770Mailing Address: 30 PEDERZINI DRIVE, MEDFIELD, MA 02052P. A. N. SECURITIES, LP45 GLOVER AVENUE, 7TH FLOOR, NORWALK, CT 06850P.J. ROBB VARIABLE, LLC6075 POPLAR AVE, SUITE 400, MEMPHIS, TN 38119P2 CORPORATE FINANCE, LLC964 EULALIA ROAD NE, SUITE
It's very simple, we live in a country of freedom. That freedom should include how we decide to invest or use our financial assets.
The Books and Records topic of the 2025 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, (2) findings and effective practices, and (3) additional resources.
G. A. REPPLE & COMPANY101 NORMANDY RD, CASSELBERRY, FL 32707G.DISTRIBUTORS, LLCONE CORPORATE CENTER, RYE, NY 10580-1435G.RESEARCH, LLCONE CORPORATE CENTER, RYE, NY 10580-1435G.W. SHERWOLD ASSOCIATES, INC22994 EL TORO ROAD, LAKE FOREST, CA 92630G1 EXECUTION SERVICES, LLC175 W. JACKSON BLVD., SUITE 1700, CHICAGO, IL 60604GAGNON SECURITIES, LLC1370 AVENUE OF THE AMERICAS, 26TH FLOOR, NEW
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Publication Date: June 17, 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
TO: All NASD Members and Other Interested Persons
On April 30, 1984, the Securities and Exchange Commission ("SEC" or "Commission") published for comment changes to the National Market System (NMS) designation criteria which by the National Association of Securities Dealers, Inc. ("Association" or "NASD") has proposed. If adopted, the effect of the changes
