The 2022 Report on FINRA’s Examination and Risk Monitoring Program (the Report) provides firms with information that may help inform their compliance programs. For each topical area covered, the Report identifies the relevant rule(s), highlights key considerations for member firms’ compliance programs, summarizes noteworthy findings from recent examinations, outlines effective practices that FINRA observed during its oversight, and provides additional resources that may be helpful to member firms in reviewing their supervisory procedures and controls and fulfilling their compliance obligations.
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the distribution of ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC). FINRA small firm members1 in the New York Region as of the close of business on Friday, October 21, 2022, are eligible to vote in these elections.
Ballots are due by Wednesday
INFORMATIONAL
NASD Consultative Committees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Consultative Committees
District Committees
Enforcement Actions
Market Regulation Committee
Executive Summary
NASD is issuing this Notice to replace and supersede Notice to Members 03-10, which discussed
PUBLIC INFORMATION ON SHORTING, DETAILED AND BROADCASTED TO THE PUBLIC DAILY!! I HAVE RIGHTS TO KNOW WHATS GOING ON WITH MONEY INVESTED AND SO DO 4.1 MILLION PEOPLE..
Inverse funds are important protection for downside risk in my IRA Account. If were not for the instruments I would have had to go cash instead of going delta neutral and still collect blue chip dividends. The result is I had good 1st Q 22 not bad for an average Joe. It pains to think you going thru this exercise again. In 2006 I got scared out my hedges by this same scrutiny and suffered heavy
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.
February 8, 2011
Dear Executive Representative/Chief Compliance Officer:
FINRA is publishing its 2011 Annual Regulatory and Examination Priorities Letter to highlight new and existing areas of significance to our regulatory programs. This edition of the letter includes topics of heightened importance to FINRA's Member Regulation, Market Regulation and Enforcement Departments, and the
The brokerage company I work with always provides information on risk with investing. As do drug companies with risk on heath. Leave the way I want to invest alone. Ones choice. Free country.
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent reports of a CrowdStrike service outage affecting Microsoft operating systems. FINRA continues to monitor the outage.
Strongly opposed to proposed regulations.
Please do not interfere with my right to invest.
The public is capable of doing their own research. There is plenty of information in the prospectus for people to make their own decisions.
