The work you do is incredibly important, and we appreciate and respect your critical contributions to our shared objectives of investor protection and market integrity.
Fellowship Program Grants Military Spouses the Opportunity to Achieve the AFC Credential and Help Address Unique Financial Circumstances in Military Communities
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) and the Association for Financial Counseling and Planning Education® (AFCPE®) announced today the recipients of 2023 FINRA Foundation Military Spouse
The FINRA Foundation has retired the Moneytopia game and tutorials, as the underlying Flash Player technology is no longer supported by Adobe. Try out other FINRA investor education tools and resources, including a series of mini-modules on investing.
Background
In March 2017, FINRA issued a Special Notice on its engagement programs as part of FINRA360. Based on comments and suggestions regarding the usefulness of some advisory committees, their membership and their effectiveness as a vehicle for dialogue between FINRA and member firms, FINRA is making several changes.
Operational Impact of Rule Changes
Rather than
Last week, we had the pleasure of hosting many of you at our Annual Conference—an event attended by more than a thousand individuals from around the country. I enjoyed meeting with members representing every corner of our industry and learning about the opportunities and challenges ahead for investors, the markets, and the brokerage industry.
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent cybersecurity risks at third-party providers (commonly referred to as third-party vendors) impacting member firms.
I. IntroductionFINRA, a not-for-profit organization, is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets. Authorized by Congress, FINRA works to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. We oversee more than 624,000 brokers across the country—and analyze billions of
I am an individual investor. I do not consider inverse and leveraged ETPs to be complex. Inverse ETPs are an intuitive and straightforward way for the average investor to hedge against long positions in their 401K using a self-directed trading account. My colleagues and I have learned that it can be counterproductive to move funds in our 401Ks into cash and back into long term investments, given
Hello, I am writing in regards to regulatory notice #22-08.
Please do not restrict access to leveraged ETFs. I am just a retail trader trying to compete in the markets the best way I can. I do not have access to swaps or private markets or high speed low latency connections to exchanges like big institutional traders do so I have to make do with what I have available. Leveraged and inverse ETFs
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
