FINRA Updates Supplemental Statement of Income
Current FINRA members seeking to change ownership, control, or business operations must submit a continuing member application, or Form CMA. Form BD amendments may be required for some of these Form CMA-triggering events.On This PageWhen to File a CMAWhat to include in a CMARemoval or Modification of a Restriction on a Membership AgreementAfter Filing a CMAWhen to File a CMAWhen current FINRA
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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Data Description
The FINRA Industry Snapshot provides a high-level overview of the industry, ranging from the number of FINRA-registered individuals to the
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
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
X-CHANGE FINANCIAL ACCESS, LLC222 W ADAMS STREET SUITE 450, CHICAGO, IL 60606XIDAR SECURITIES LLC353 NORTH CLARK ST, SUITE 1600, CHICAGO, IL 60654XLII FINANCIAL SERVICES LLC10023 APPLE CREEK DRIVE, DALLAS, TX 75243XML SECURITIES6901 ROCKLEDGE DRIVE, SUITE 730, BETHESDA, MD 20817XMS CAPITAL PARTNERS, LLC321 N CLARK STREET, SUITE 2440, CHICAGO, IL 60654XNERGY FINANCIAL LLC1801 CENTURY PARK EAST,
Leveraged and inverse funds are tools that investors at all asset levels should have access to. By making these funds available only to the wealthy, you further the wealth gap already affecting our financial world.
I am in favor of investment in complex and risky assets being HIGHLY regulated. These crap shot 'investments' are there for the financial industry to make money from unsuspecting and unsophisticated investors. If they even exist they should be strongly regulated.
TO: All NASD Members
Recently, Norman T. Wilde, Jr., Chairman of the NASD, received a letter from Vice President George Bush advising of the Administration's formation of a Task Group to review the existing system of federal regulation of financial institutions and services.
The Vice President explained in his letter that the Task Group would very much appreciate obtaining the views of
I am an experienced investor, self-educated, who has used leveraged and inverse products to great effect, to protect existing financial assets, and to responsibly participate in market uptrends, for my family's wellbeing. I am aware, given the abundant statements from brokers and financial media, of the effects of price trend and volatility on leveraged products' returns.
