NTM 06-60 is superseded by NTM 06-72GUIDANCE
Customer Account Statements
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Customer Account Statements
Introducing Firms
NASD Rule 2340
SIPA (Securities Investor
Protection Act)
I understand that in your efforts to protect investors from themselves you are planning to impose yet more suffocating rules and regulations. Please don't. Over regulation is running rampant and is already doing serious damage to our freedoms and productivity. Thanks for thinking of us, but please refrain.
I am one of millions who appreciate having timely and relatively unfettered
In regards to restricting people's ability to invest in leveraged and inverse funds. I will chose to believe that this is a well intentioned regulation to prevent people who may not know what they are doing from losing big in a down turn. But this also disallows poor people and those who may be just starting out, the potential for higher returns on their investments. This would take away
When you retire, you begin to take income from your defined benefit pension or defined contribution plan. You may also take income from a Social Security account. Learn about the payout options from each source and what each means for your personal situation.
Dear FINRA, As a US citizen and investor, I expect to be able to make my own decisions when it comes to my investing choices. Individuals should be able to choose from a variety of investments, including leveraged and inverse funds, in accordance with what is right for them in their own opinion. We are adults and can make our own informed decisions without having to jump through additional hoops
I have used leveraged products as a means to capitalize on market conditions. Through research, education, and constant monitoring, I was very successful. I stayed in leveraged products I understood and that were well funs (TQQQ, for example). The smaller riskier leveraged products were not for me, but that was my decision. This is the same as trading options.
What you offer to one you must
TO: All NASD Members and Other Interested Persons
BACKGROUND
The Securities and Exchange Commission (SEC) has amended its customer protection rule (Rule 15c3-3) under the Securities Exchange Act of 1934, in connection with repurchase (repo) agreements with customers when the broker-dealer retains custody of any securities subject to these agreements.
The amendments become effective January 31,
A crowdfunding intermediary must register with the Securities and Exchange Commission (SEC) as a broker or as a funding portal and become a member of a national securities association (FINRA). The following crowdfunding intermediaries are registered with the SEC as funding portals and are funding portal members of FINRA.Learn more about funding portals.For broker-dealer firms, view the Broker
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.
Upcoming FINRA Board of Governors Election of a Small Firm and Large Firm Governor
