FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
The Anti-Money Laundering, Fraud and Sanctions topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
SummaryFINRA periodically reviews the content of qualification exams to ensure each exam remains current and appropriately tailored to the qualifications and subject matter being tested. Based on this review process, FINRA has revised the Research Analyst (Series 86/87) exam program to incorporate the functions and associated tasks a Research Analyst currently performs; reflect the laws
SummaryFINRA is providing information in this Notice to remind registered persons and firms of the new requirements regarding the Continuing Education (CE) Regulatory Element, including:this year’s training assignments and completion deadline of December 31, 2023;the consequences of not completing required annual training and CE inactive status; andresources available to firms for facilitating
Please just do your job. All we want is a fair market. These hedge funds break the rules and nothing is done. We need transparency. We need our governing bodies to actually enforce the rules. We need to be protected or everyone near and far is going to pull their money out of the US market.
NASD Regulation, Inc., has filed with the SEC a proposed rule change to require, as part of a subordination agreement, the execution of a Subordination Agreement Investor Disclosure Document ("Disclosure Document").
To Whomever this concerns, Please institute rules that will help investors in the American marketplace have faith that the system is not corrupt, that there is a level playing field, and that the government works for the people and not just wealthy and well-connected institutions and individuals. In this modern "information" era, the disparity in the available information to retail
Hedge funds used obfuscation and blatant disregard for the rules to extract capital from retail. This became blatantly obvious with the manipulation throughout the last year. I am asking for more frequent public reporting of short positions and more detail in public reports. Increased enforcement of the current rules against naked short selling is a given.
This proposed rule is clearly an attempt by elites to keep the individual investor from taking advantage of their terrible public policy. If this investor were to see that the government was spending too much money and going to cause inflation, how are they to protect their portfolio or actually take advantage of this mismanagement. Betting against Treasuries, like using TBT, would provide that
I am totally opposed to the Proposed Rule #S7-24-15 for the following reasons: 1. I am a small investor that has invested in leverage funds for greater than 20 years and am quite capable of understanding the risks of using leverage funds. In fact, I find it offensive that a regulator would question my knowledge of the market by using some gimmick like passing a special test related to my
