Investors should be able to determine for themselves whether or not particular investments are appropriate for my or my family's investment goals. It suffices for investors to know that ANY security poses inherent risks, or more often, volatility.
The ability to invest freely is a necessary component of Americans' financial security: Social Security and pensions often are
I believe it's each investors responsibility to understand risk of their investment and each institution to provide investment vehicle. It's regulators' responsibility to ensure investment institutions to disclose risk information properly so that individual investors understand the risk they are take. But it's wrong for the government to put regulation in
Exchange Act Rule 15c3-5 (Market Access Rule) requires broker-dealers with market access or that provide market access to their customers to “appropriately control the risks associated with market access so as not to jeopardize their own financial condition, that of other market participants, the integrity of trading on the securities markets, and the stability of the financial system.”
For 20 years, FINRA’s Trade Reporting and Compliance Engine, known as TRACE, has contributed to reduced trade execution costs, facilitated price formation, aided regulatory programs and protected investors, as detailed in a recent blog commemorating this milestone anniversary. As an economist, I’d argue TRACE’s impact extends. For me, some of the real impact is in the research it has enabled.
The use of AI-based applications is proliferating in the securities industry and transforming various functions within broker-dealers. Some large firms have established centers of excellence to review, share, and build expertise and create synergies related to the use of AI across their organizations. In addition, firms are exploring and incorporating AI tools built by financial technology
FINRA Announces Results of SFAB, NAC and District Committee Elections
The people have a right and the freedom to purchase whatever investments they wish to if they are sound and capable of doing so. FINRA's attempt to regulate the purchase and sale of cryptocurrency is a disgusting example of bureaucratic overreach designed to hold everyday investors back and consolidate control over a valuable asset which has helped financially transform the lives of many
Summary
FINRA has modified its Trade Reporting and Compliance Engine (TRACE) dissemination protocols applicable to agency pass-through mortgage-backed securities and Small Business Administration (SBA)-backed asset-backed securities traded in specified pool transactions.1 The amendment will become effective on May 17, 2021.
Questions regarding this Notice should be directed to:
Alié Diagne,
GUIDANCELiquefied Home EquitySUGGESTED ROUTINGKEY TOPICSLegal and ComplianceRegistered RepresentativesSenior ManagementCommunications with the PublicHome Equity Lines of CreditLeverageLiquefied Home EquityMarginMortgagesExecutive SummaryThe rapid increase in home prices over the past several years, in combination with refinancing activity by homeowners, has lead to increasing investment activity
Hello - I am contacting you regarding recent communication I have received from my broker that may restrict my ability to invest in leveraged and other higher risk assets. I have spent the last two years studying these securities and understand them very well. I use well thought out risk management and diversity to ensure I would never lose a large sum of money in a major market move. For
