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Executive Summary
On December 28, 1998,
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
I have invested and traded in stocks, mutual funds, ETFs, put and call options, leveraged and inverse securities, futures, gold and silver for 61 years. The US markets have grown and prospered because of innovation. When a market fails to meet the needs of participants, that market goes away on it's own.
The huge volume of shares traded in some leveraged securities is substantial
Extension of Time Requests Relating to New SEA Rule 15c3-3(d)(4)
Overview
The Broker-Dealer Written Supervisory Procedures Checklist ("WSP Checklist") is an outline of selected key topics representative of the range of business activities typically proposed by applicants seeking approval to become FINRA members or to expand their existing securities business under FINRA Membership and Registration Rules.
As part of the new member application
Application of the SEC’s Financial Responsibility Rules in Response to the Downgrade of U. S. Long Term Credit Rating by Standard & Poor’s
Guidance on the Net Capital and Reserve Formula Treatment of Senior Unsecured Debt Securities Issued Under the Debt Guarantee Program Component of the FDIC's Temporary Liquidity Guarantee Program; Effective Date: July 15, 2009
I am a retired citizen and an active private investor. I never had a job that provided me with a pension. I taught myself how to invest through trial and error. One of the great developments in investment products at the end of 1997 was that of ProFunds' making available inverse funds and leveraged funds. Both of these categories of mutual funds provided me more flexibility in how I
Im capable of understanding cryptocurrency funds such as BITO and their risks.I invested in many pre ipo offerings and I believe people shouldnt have limits on how much money they
invest in pre ipo offerings such as Reg A+ and Reg CF offerings like the wealthy accredited investors dont have limits on how much money they invest in pre ipo offerings.Regardless of annual income or net worth I should
FINRA Grants Additional, Temporary Relief from the Net Capital, Reserve Formula, Non-purpose Loan, and Maintenance Margin Requirements Applicable to Credit Extended on Auction Rate Securities to Broker-Dealers That Agree to Buy Back Auction Rate Securities; Effective Date: November 4, 2008
