Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Summary
The U.S. government has imposed sanctions in response to Russia’s actions in Ukraine. FINRA is issuing this Notice to provide member firms with information about these recent actions. FINRA encourages member firms to continue to monitor the Department of Treasury’s Office of Foreign Asset Control (OFAC) website for relevant information.
If you have general questions
Overview of FINRA Senior Exploitation Rules
The FINRA Senior Exploitation Rules provide firms with the tools to protect senior investors and help firms address risks relating to possible financial exploitation. FINRA Rule 4512 (Customer Account Information) requires firms to make reasonable efforts to obtain the name of and contact information for a trusted contact person upon the opening of a
I think any company that is an institution, a bank, a hedgefund, a brokerage or a market maker needs to have any of their orders routed through an order monitoring device before it's sent off so that they can no longer keep committing these society destroying crimes. Hypothecation, synthetic shares, naked shorting, naked long calls, falsely hiding puts by making them appear long, diverting
As announced by the Board of Governors of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions’ daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine
(a) No person associated with a member ("employer member") shall, without the prior written consent of the member, open or otherwise establish at a member other than the employer member ("executing member"), or at any other financial institution, any account in which securities transactions can be effected and in which the associated person has a beneficial interest.(b) Any
FINRA released a new edition of the OATS Reporting Technical Specifications dated November 19, 2007. This edition consolidates the August 6, 2007 edition with its two addendums.
All investments carry some degree of risk. Stocks, bonds and funds can lose value. Even conservative, insured investments such as certificates of deposit issued by a bank or credit union, come with inflation risk. They may not earn enough over time to keep pace with the increasing cost of living.
Its time for transparency in the market! Pfof should be a crime its a conflict of interest and not only that other coutries have banned this practice so why is it taking so much effort to discredit the retail investors beliefs! The fake news being spread about amc and many others is quite disturbing! If we never had a ceo who cared about his company we all would be at risk! This is something
Micro-investing involves regularly investing small amounts of money to build up a stake while participating in financial markets. If you can’t dedicate much money toward investments, it might take years to reach a mutual fund’s minimum investment. Micro-investing allows you to invest with less money upfront, often automatically.
