SEC Approves Expanded Application of Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
In the securities world today, there is little daylight between money laundering and fraud. On this episode, we learn how FINRA’s Special Investigations Unit works to detect and investigate cases of illicit finance and market abuse, as well as how they proactively identify and mitigate threats.
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The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1997. Duplicate copies are available for $
I should be able to choose the public investments that are right for me and my family. Leveraged and inverse funds are important to our investment strategies. Leveraged etfs will run well with enhanced return if the trend is up whereas inverse ETFs help to protect our investments during market correction and downtrend. Hence, public investments, especially hedging, should be available to all of
FINRA Issues Guidance Regarding the Use of Stop Orders During Volatile Market Conditions
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The multi-week period following the end of each quarter when most public companies release their earnings reports is known as earnings season. Wall Street analysts, financial media and investors often eagerly anticipate reports from many major firms during earnings season and monitor how they might impact individual stocks and economy-wide narratives.
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The mission of Regulatory Economics and Market Analysis (REMA) is to elevate FINRA’s ability to make sound regulatory and policy decisions and foster innovation in regulation through best-in-class research and analysis.
SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
