Jim Reese is Senior Vice President of Data and Analytics for Member Supervision at FINRA. Mr. Reese leads a team of data analysts, risk specialists and data scientists responsible for developing and executing innovative advanced analytics, risk and predictive models, graph and other visualizations to enable, inform and drive the efficiency and effectiveness of Member Supervision and its
As a neutral party, the Ombuds does not take sides on any issues brought to our attention, but considers the interest and concerns of all parties to a situation with the objective of achieving fair outcomes. Neutrality is the Ombuds' goal, and carrying out that role demands fairness, objectivity, impartiality and even-handedness despite personal preferences.
FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced communications compliance and marketing professionals. Industry and regulatory speakers facilitate interactive discussions of communications topics including new rules, effective practices, regulatory priorities and emerging technologies.
SEC Approval and Effective Date for New Consolidated FINRA Rule on Trading Ahead of Research Reports
Dear FINRA Administrators: I understand that FINRA is considering limits to individual investment choice and I am strongly opposed to any such action. I believe individual choice should remain paramount and what any individual invests in should not be limited by government or administrators who think "they know better." Please remember, if I choose to invest in a leveraged fund - I am
This is not the 1940s Papa, education, and information are very accessible. Connections are made faster and with more abundance than ever before. It is absolutely insane that I even have to write this when I can drive 30 minutes to a casino and gamble every dollar away. The hypocrisy is legendary and once again it's 2022 we can see through all the non-sense. If investments are the way every
I find it reprehensible that you would try to limit my ability to invest as an individual. I use inverse funds and futures to build income on the downside and if you limit my access to those products you will be limiting my ability to continue to build my portfolio and bring in income when the market falls.
I don't understand the desire or need to regulate people's freedom. You
FINRA Requests Comments on Proposed Changes to Forms U4 and U5; Comment Period Expired: May 27, 2008
As FINRA's industry technology developments continue, the systems and work processes used by firms—and industry professionals—to manage registration-related information are also changing. Join us during this webinar series as we discuss topics related to the following areas:
transitioning registration compliance workflows to FINRA Gateway,
continuing education platform changes
I have been managing my own investments for 35 years. I was trained at the graduate level to do this, but was never employed in the financial services industry.
Leveraged and inverse, open and closed funds, are useful instruments. In appropriate circumstances, I use these instruments. They are especially helpful for generating routine income (in retirement) and setting up hedges.
Not
