This report is provided as a compliance tool to help TRACE Security Administrators monitor TRACE system entitlement.
I would like to weigh-in on the regulations being considered by the Financial Industry Regulatory Authority (FINRA), to limit the availability of individual investors investing in leveraged and inverse funds, and other like investments without strict testing and special approvals by their broker.
Its my opinion that some brokers, who are part of FINRA are the reason that people like me seek other
When it’s more profitable to break the law there will never be the change that is needed in the markets. Making 100 million dollars illegally and it only costs 25 million in fines equals a profitable business model. Why would they EVER follow rules??? The system is broken, rigged and allows outright theft, fraud and manipulation.
Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2023 or the first quarter of 2024.1 FINRA reminds members that all such filings they submit to FINRA must be made electronically
2025 Program Dates: November 16 – 21This course takes place at Georgetown University's McDonough School of Business in Washington, DC. Over five days, Georgetown University business and law school professors and financial services industry experts explore a series of advanced-level regulatory and compliance topics that help participants build on previous coursework covered during Week I.
Testing the Effectiveness of Financial Education Across 76 Randomized Experiments
SEC Approves Rule Requiring Members’ Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck
Proposed Rule Change Relating to the Fee for the Regulatory Element of Continuing Education
Thank you, John for that kind introduction. It's an honor to speak at this great university – and the McDonough School in particular. Georgetown University is an incredibly valuable resource – to its students and the entire business and financial community.
Stop being a bully. Youre tactics are shameful. This entire system needs a new set of eyes to make the greater changes that open all trading to everyone who wants to participate. Its time to correct the unbalanced nature of the 1% elite making all decisions.
Were coming for you and your money. This is America, we are all created equal!
