The Cybersecurity and Technology Governance section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
To FINRA Regulators:
The proposed regulations in #22-08 are a threat to investors everywhere. One reason the USA is a great place to live, work, and invest, is financial freedom. Few places in the world offer the upward mobility available here in the USA. One reason for our economic growth is the ability of investors of all financial levels to invest as they see fit.
I am a smaller investor. I
08-47 - NASD Rule 3070(c) and Incorporated NYSE Rule 351(d) require all member
firms to report on a quarterly basis statistical information regarding
customer complaints.
I am not in favor of any regulation that would take away my ability to use investment devices that are available to others or to throttle or adjust my access.
I use a leveraged ETF (TQQQ) to risk a smaller amount of money and possibly achieve greater returns as part of my comprehensive investment strategy. I am quite pleased with the results and will continue to use it as a portion of my overall
NASD Rule 2830 - Investment Company Securities</p>Offices of sub-adviser holding training and education meeting is permissible location under Rule 2830(l).
The stock market is a way to invest in the Future of the United States. Over the course of the history of the U.S. Stock market, it has trended upward. Thus on a long term time scale, the use of margin on an index tracking fund will generate higher overall returns than through pure capital allocation.
When developing my investment portfolio, I ran numerous variations of Monte-Carlo Simulations
Rather than limiting access to these products, perhaps increase education on them. Leveraged products are not discussed in any academic curriculum on neither a high school level nor university level. Word of mouth is the most common way for people to discover leveraged products. When I was first entering the markets at the ripe age of 15, one of the first investments I was told about was DWTI -
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 6, 1985, 32 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 2,077. These 32 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
NASD Rule 2110 - Standards of Commercial Honor and Principles of TradeMember ceasing to offer retail brokerage accounts with investment advisory and prime brokerage services may use negative response letters to accomplish the bulk transfer of its retail brokerage accounts to a newly formed broker-dealer.
We selected the topics in this Report for their interest to the largest number of firms; consequently, they may include areas that are not relevant to an individual firm and omit other areas that are applicable.FINRA advises each firm to review the Report and consider incorporating relevant elements into its compliance program in a manner tailored to the firm’s activities and
