Hello,
I am a retail investor with a working knowledge of markets and the economy. I take it upon myself to be educated and enjoy the freedom that provides me to handle my own financial affairs. While I do understand the need for basic regulation of the market and its professional participants, I summarily reject the premise of restricting my ability to succeed, or fail, based upon my own
The Third-Party Risk Landscape 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.
FINRA Requests Comment on a New Academic TRACE Data Product
Notice of SFAB Election and Ballots
(a) Recovery of cost of services. FINRA shall, in accordance with this section, collect member regulatory fees that are designed to recover the costs to FINRA of the supervision and regulation of members, including performing examinations, financial monitoring, and policy, rulemaking, interpretive, and enforcement activities. FINRA shall periodically review these revenues in conjunction with
In addition to the Helpline, FINRA has consistently focused on addressing concerns relating to senior investors. Our efforts have included rulemaking to provide firms with tools to address financial exploitation of seniors, guidance in FINRA publications, reviews of senior investor protection programs in our examinations, enforcement actions and collaboration with other regulators, as well as
SEC Approval of FINRA Funding Portal Rules and Related Forms
Delegation of Functions and Authority:
A. Subject to Section I.B.9., FINRA hereby delegates to FINRA CAT and FINRA CAT assumes the following responsibilities and functions as a registered securities association:
1. To act as a Plan Processor in accordance with Rule 613 of SEC Regulation NMS and the provisions of the CAT NMS Plan.
2. To create, operate and maintain the consolidated audit trail
Kayte Toczylowski is Vice President of Member Relations and Education for FINRA. In leading the Member Relations and Education Department, Ms. Toczylowski’s responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms. Ms. Toczylowski also oversees FINRA’s Member Education area, which
Its okay for regulators to make regulatory actions on financial markets. However, I have found the proposals of Regulatory Notice 22-08 unacceptable.
First, Finra didnt mention what kind of financial products is complex, which means investors cant figure out what they can purchase prior to making transactions. Second, highly educated or high wealth does not mean you can invest successfully, not
