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
To whom it may concern, I would like to voice my concerns regarding the following: Naked short selling High frequency trading algorithms Payment for order flow Dark pools Over the course of 2021, meme stocks have made quite a splash in financial markets and exposed what would constitute fraud for the average person, but turns into "savvy investing" for financial institutions. The
Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)
New research suggests that seniors may be particularly vulnerable to the effects of heightened emotions on decision making. Researchers at the Stanford Center on Longevity, FINRA Foundation and AARP found that inducing emotions, such as excitement and anger, in older adults increased their intention to buy falsely advertised items.
TO: All NASD Members
The Association's Board of Governors is publishing for comment a proposed new Rule of Fair Practice relating to permission for members to carry customer accounts. Interested persons are advised that comments must be received by the Association by September 22, 1983, in order to receive consideration. After the comment period has closed, the proposal will again be
Regulations on financial products have already stifled innovation in the financial space and this is why the whole digital asset realm was born. the governments of the world have been tightening the grip on the citizens more and more and it needs to stop.
Public investments need to be made available to all EQUALLY, while you assume you are helping you are in-fact working to create classes of
We are conducting a comprehensive self-evaluation and organizational improvement initiative called FINRA360. The objective of this effort, which CEO Robert Cook launched in early 2017, is to ensure that FINRA is operating as the most effective self-regulatory organization (SRO) it can be, working to protect investors and promote market integrity in a manner that supports strong and vibrant
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-1e Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).
Sections 240.15c3-1e and 240.15c3-1g set forth a program that allows a broker or dealer to use an alternative approach to computing net capital deductions,
On this page you'll find compliance resources on different issues affecting the securities industry. FINRA provides essential background information on each of these key topics, as well as the relevant rules, notices, guidance, news releases, and investor education content for each.Advertising RegulationAlgorithmic TradingAlternative Display Facility (ADF)Annual ReportsAnti-Money
Managing a retirement account takes some work. Your plan administrator generally handles your portfolio's actual transactions and the recordkeeping and reporting, but you decide when and how to reallocate and rebalance your assets.Beyond keeping tabs on the performance of your portfolio, you’ll want to know your plan’s rules and procedures and how much your plan and its investments are
