Let the investors decide the risks they are willing to accept. There is no reason for the government to get involved in the risk management of individual investors.
The Cybersecurity and Technology Governance section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) observations and effective practices, and (3) additional resources.
Comments: Leveraged funds are advertised as risky and they communicate that risk in frequent newsletters for investors to remember the added portfolio risk
The Market Access Rule topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
Firms could be vulnerable to a newly discovered social engineering scheme in which bad actors trick customer support personnel into downloading and executing malware. This Alert describes the scheme and provides recommendations to help firms protect themselves from the threat.
Leveraged and inverse funds are important to my investment strategies.
I can manage the risk on my investments at my own risk.
The FINRA Board of Governors met recently in Washington, and I am pleased to share some updates. The Board approved:
I think its a dumb rule. People take out margin and risk owing the brokerage. Levered funds remove that risk
SUGGESTED ROUTING:*
Legal & ComplianceOperationsRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
After several years of discussion, the Securities and Exchange Commission (SEC), NASD, and North American Securities Administrators Association (NASAA) have resolved their differing views regarding disclosure
Along with the risk comes a great deal of opportunity, The risks are already clearly explained and do not need any possibly restrictive regulation.
