Brokerage accounts allow investors to buy and sell numerous types of investments. When opening a brokerage account, investors have two main options: a cash account or a margin account. The difference between them is how and when you pay for your investments.As the name suggests, when you buy securities with a cash account, you must do so using cash, paying for the purchase in full. If you want to
FINRA Dispute Resolution Services (DRS) does not require vaccination, COVID testing, or Health Self-Assessments for in-person participants at arbitration hearings or mediation sessions (hearings).Frequently Asked QuestionsAre face masks required at in-person hearings?In-person participants are not required to wear face masks. However, FINRA recommends that people consider wearing a mask if the
The Observations on Liquidity and Credit Risk Management 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.
Whether you’re expecting your first child, are the parent of a newborn or are starting to think about conceiving or adopting, it’s never too soon to think about getting your financial house in order. Here are five steps to get you started.
What types of effective educational interventions have the highest potential to influence the behavior of investors, particularly newer investors? What are the costs of implementing such interventions? A great way to influence newer investors is by informing younger generations via social media platforms. As a young adult, I know that most people (regardless of race or income status) from the age
First of all, stop pretending like Finra doesn't know how corrupt and rigged the Stock Market is especially given the fact that Finra facilitates and encourages such behavior at the expense of the retail investor. Yes, Finra facilitates and encourages such behavior contrary to the statements made on their "About" page which I will provide some examples as proof. 1) Fail-to-deliver
Dear FINRA, as a European citizen and not professionally or directly involved in the US market if not as a retail investor, I don't know how qualified or entitled I am to write to you, but seeing that you make an effort to hear our opinion, and since we can only appreciate this action hoping in constructive and effective changes in the future of the world market, here it goes: I am aware
First of all, stop pretending like Finra doesn't know how corrupt and rigged the Stock Market is especially given the fact that Finra facilitates and encourages such behavior at the expense of the retail investor. Yes, Finra facilitates and encourages such behavior contrary to the statements made on their "About" page which I will provide some examples as proof. 1) Fail-to-deliver
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.
SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
