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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons
I firmly object to the measures being proposed in this rule, particularly any steps to restrict what products I am able to procure through my brokers as a private (retail) investor. My concern especially applies to the purchase of leveraged ETFs. As a private investor or trader, the onus has been and always will be on me to acquire the necessary knowledge, experience, and trading acumen to be
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a
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Dear Ms. Mitchell,I appreciate the opportunity to comment on FINRA’s proposal to streamline the requirements governing outside business activities (OBAs) and private securities transactions (PSTs), as outlined in Regulatory Notice dated April 2025.I would like to express my support for the proposed exclusions, particularly the exclusion of registered persons’ personal investments in non-
Leveraged index are important for private investors like me. I have a high risk tolerance but don't have the time to manage puts and call on a daily basis. This is why leveraged funds like TQQQ and SQQQ are products that I use frequently. I understand why regulations try to limit what inexperienced private investors can have access to. Investor who leverage themselves above their risk
The Anti-Money Laundering (AML) section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Thank you for the opportunity to appear today to discuss the important work that the Financial Industry Regulatory Authority, or FINRA, is doing to fulfill our mission under the federal securities laws to protect investors and safeguard market integrity while facilitating vibrant capital markets.
Investors and financial services professionals alike are increasingly using social media for a variety of business purposes. Social Media may be a new medium, but FINRA's rules on communicating with the public are still applicable. The rules protect investors from false, misleading claims, exaggerated statements, and material omissions. Below we identify key areas and concepts when using
Hear how to navigate current developments in FINRA’s communications rules and industry marketing practices including mobile apps, social media, and other digital channels. Panelists answer questions on how to embrace the future of communications while remaining compliant.
