The Manipulative Trading 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.
If it’s one thing that Melvin capital, citadel, point 72, Susquehanna and Virtu have taught me, in conjunction with the ongoing short selling sagas of certain meme stocks, is that if something isn’t done quickly an entire generation of investors will abandon the US stock market. We are very clearly an oligarchy, which is not only an insult to our founding fathers, but a travesty enacted upon
I fail to understand why this issue has resurfaced. I do not feel that I need financial advisor or someone to protect me from myself. This very dangerous territory. If I should not invest in inverse or leveraged funds, maybe I should not invest in start-ups, or penny stocks, or any stock that does not meet with a regulators political opinion. We have far too much WOKE control now.
I have used
I am totally opposed as an American citizen to have FINRA regulators in essence restrict my right to invest in leveraged and inverse funds. It's one thing to protect American citizens from scams and shady financial dealing; it's another thing to start regulating the amount of risk I can assume.
Forcing me to take a test and prove my ability to invest in these types of
I have been contacted by a website called "Let Everyone Invest" that says under the regulations being considered by the Financial Industry Regulatory Authority (FINRA), if these public securities are deemed to be complex, you may not be able to buy them unless you: Pass a regulator-imposed test of your specialized investment knowledge Demonstrate a high net worth Get special approval
It can be difficult to recover assets lost to fraud or other scenarios in which an investor has experienced a problem with an investment. But there are legitimate ways to attempt recovery. In most cases you can do so on your own—at little or no cost.
WASHINGTON—FINRA marks this month the 10th anniversary of the FINRA Securities Helpline for Seniors, an important resource for seniors and vulnerable investors that has assisted in recovering more than $9.3 million for investors as of Dec. 31, 2024.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend Rule 2231 (Customer Account Statements) to (a) add new supplementary materials pertaining to compliance with Rule 4311 (Carrying Agreements), the transmission of customer account statements to other persons or entities
If you’re interested in over-the-counter (OTC) trading, you might have heard about dark pools, a type of alternative trading system (ATS) that was designed to handle large trades for institutional investors anonymously. Dark pools allow large buyers and sellers to trade large blocks of shares without causing the market to move against them.
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Essential Elements of Sound Capital Market Structure
Good afternoon. First, let me thank Alison [Watson] for the invitation to speak with you today. The Exchequer Club plays a unique role in Washington by providing an important venue to discuss the major issues facing the financial services industry, and business generally. So it's a pleasure to be here with you
