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.
Retail investors are losing faith in the market. I urge you to take action to regularly disclose all short positions, whether genuine or synthetic (through married options, for example) on a weekly basis. This will allow individual investors to make more informed decisions about which companies they should invest their money in and will resolve the question of whether bad actors are using illegal
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
As of November 23, 1998, the following bonds were added to the Fixed
Summary
In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s
I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
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Senior ManagementInternal AuditLegal & ComplianceOperationsSystems
Executive Summary
On November 24, 1992, the Securities and Exchange Commission (SEC) adopted significant amendments to the Net Capital Rule, Rule 15c3-1. The changes to the minimum net capital requirements will take effect in three installments beginning July 1, 1993; other changes took
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests membership comment on a proposed Corporate Financing Rule that, if
Leveraged and inverse EFTs have an integral place in the financial markets. I often use them for hedging which reduces the risks in my portfolio. It is not the place of FINRA to take away toys from children in a kindergarten class when the children don't play properly or well with each other. I am not saying that investment and hedging products are toys, but it is possible that when used
To FINRA or To Whom It May Concern:
I have been having freedom on my own investments for a decade, and want to maintain my current freedom to invest in public securities of my choosing. As an American citizen, I/anyone should be able to choose the public investments that are right for us! I am grateful that the freedom of the exchange-traded funds that empower me and my family to pursue our
Leveraged ETFs provide a valuable benefit to shareholders of all kinds. They generally allow exposure to go long or short an index and magnify that exposure, without the use of complex options which can quickly destroy a portfolio just by the passage of time. I personally use these leveraged ETFs to take advantage of making trading profits such that I not dependent on a buy and hold strategy or
