This Report highlights FINRA’s regulatory operations programs’ expanded focus on ongoing key areas of risk to investors and the markets:
Reg BI and Form CRS
Regulation Best Interest (Reg BI) and Form CRS remain areas of focus across FINRA’s regulatory operations programs. FINRA’s reviews of member firms’ adherence to their obligations pursuant to Reg BI and Form CRS address a number of areas,
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009
SUGGESTED ROUTING
Senior Management
Executive Representatives
Institutional
Internal Audit
Legal & Compliance
Operations
Research
Systems
Executive Summary
The Securities and Exchange Commission (SEC) is soliciting comment on temporary rule amendments to SEC Rule 17a-5
I oppose restrictions being considered associated with certain investment instruments, e.g., cryptocurrency funds. Various financial instruments are critical to portfolio diversification and risk mitigation. Commodities, precious metals, real estate, hedge funds, stocks, bonds, mutual funds, exchange-traded funds, annuities, insurance policies, trading on margin, short-sales, futures, and
To whom it may concern.
I believe that current FINRA regulations are sufficient, if followed by investors, to protect investors from investing without knowledge of the specifications of various investments, including such investments that might be inverse in nature and/or leveraged.
The investor always has the choice to use a broker who is supposed to act in a fiduciary manner.
Personally, I use
May 2006
In a continuing effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to NASD's routine examinations of firms. While each firm must establish its own compliance
I am writing to oppose restrictions to my right to invest in certain securities. These products can be very risky, and all investing has inherent risk, it depends on the person's financial situation and risk appetite. These restrictions are not representative of a free market, capitalism, or America itself. Keeping these complex products around allows investors to understand more pieces
As someone who regularly and frequently invests in publicly traded securities it is my view that the federal government and its agencies do not have the right to tell individual investors what we can and cannot invest our money in. How or when I invest my assets is my decision and should not be limited by anyone. Federal regulators cannot know or understand the individual investors risk tolerance
I found out about the request for comment through https://www.leteveryoneinvest.com/ which in my opinion gives very misleading information about what FINRA is trying to do here. First, I think FINRA's enforcement of existing rules and regulations is extremely poor and that should be addressed before anything else. What's the point of adding additional suitability rules when the agency
I partially trade with a US broker in order to have more access and freedom in my choice of investment vehicles. Making 'complex' funds only freely accessible to the elite and exorbitantly rich (like in the EU), whilst creating more and more hoops for regular people, will only limit opportunities for regular smaller investors. I should have the freedom to do with my own money as I wish
