FINRA’s Examinations team has undertaken changes to create efficiencies before, during and after the exam process to continuously improve the program. On this episode, three senior leaders of the team join us to detail some of the recent changes, including the introduction of thematic reviews, changes to the post-exam closeout process and more.
In order to help firms manage fingerprint requirements for individuals, Fingerprint and Accounting Reports are available on Web CRD, as are the Firm Notice Queues.
Beginning Monday, November 6, 2023, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
I wish that I could say how surprised I am that financial and/or governmental bodies are once again displaying bad behavior in terms of how they treat American retail investors, but Im not. The current practice of displaying a warning on risky financial instruments is QUITE sufficient. I can read, thank you VERY much. This has nothing to do with protecting individual investors from themselves and
Email: [email protected] Subject: Regulatory Notice 22-08 05/08/2022 Please allow leveraged and inverse funds to continue. Public investments should be available to all of the public and should not be restricted to only certain groups or individuals. I have a hard time understanding why restrictions are being considered for leveraged and inverse ETFs such as index funds while high risk stocks
To FINRA, It has come to my attention through my broker that this notice may lead to a restricting of many types of investments that I have available to me. While some of the recommended requirements such as a cooling-off period and an increase in information that a client must see could benefit retail investors. Other requirements such as a net worth requirement are troubling, to say the least.
FINRA disciplinary actions for the month of July 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
Greetings,
It has come to my attention that FINRA is considering new restrictions on the ability of the public to invest in leveraged and inverse funds. I'm writing to express my opposition to restrictions which would significantly limit the public's access to and ability to use these important investment tools. In my own experience, leveraged and inverse funds are very useful
Executive Summary
The NASD announces revisions to the NASD Sanction Guidelines (Guidelines). The Guidelines were published for the first time in May 1993 so that members could become more familiar with the more typical securities industry violations that occur and the disciplinary sanctions that may result. The revisions to the Guidelines reflect recent developments in disciplinary sanctions
I have been using inverse/leveraged funds for over 7 years now. When I started I was new to trading. I did all the research on the funds as that was my responsibility as a trader. The brokers I use all explained in great detail the risks of trading these types of funds.
Everyone should have the right to trade these types of investments. It should not be based on how much wealth you have.
