A self-directed individual retirement account (IRA) is an IRA held by a custodian that allows investment in a broader set of assets than most IRA custodians permit. Custodians for self-directed IRAs may allow investors to invest retirement funds in “alternative assets” that have unique risks, including a lack of information and liquidity—and the risk of fraud.
FINRA’s Membership Application Program Group (MAP) serves as the entry point to the securities industry by ensuring that prospective and current FINRA members meet FINRA’s Standards for Admission (Standards). Prospective FINRA members must seek approval for membership through the submission of a New Member Application (NMA). Existing FINRA members must file a continuing membership
Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a
National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities
and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt
new FINRA Rule 5122.
Agenda*This agenda is subject to change. Monday, May 12 - Pre-Conference2:00 p.m. – 4:30 p.m.Cyber Tabletop Exercise (pre-registration required)5:00 p.m. – 6:30 p.m.New Attendee Reception (pre-registration required)5:00 p.m. – 7:00 p.m.Registration & Information Tuesday, May 137:30 a.m. – 6:00 p.m.Registration & Information8:00 a.m. – 9:30 a.m.Senior
In general, a member firm’s office or location is either registered as a branch office, if it meets the definitions contained in Rule 3110(f), or exempt from branch office registration (i.e., an unregistered office or non-branch location), if it fits within an express exclusion from the branch office definition listed in Rule 3110(f)(2)(A)(i)–(vii) or is designated as a residential supervisory
The Communications with the Public section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
I am upset and disappointed that FINRA is considering the placement of limitations on my investment capabilities. Why would you deny me the ability to choose investments that can help me financially? I believe I should have the right to determine if my investment decisions are too "complex" for me. Please don't discriminate against me as an investor.
The Suitability section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
My career was in governmental regulation of utilities. I am keenly aware of the need of regulation in various markets. In this instance, however, I am opposed for the placement of conditions to invest in what is described as "complex products". As an investor, I should be able to engage in this market without having to meet conditions stipulated by a regulatory body. That is
This Notice discusses the guidance and other resources available to assist members with their compliance efforts in connection with the Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI).
