Why do we engage with scammers? What makes one person more likely to engage than the next? Of those that engage, what makes someone more likely to lose money? On this episode, we dig into the research on these important questions with three academics in the field.
Regulatory Guidelines to assist infringing on the rights of individuals. The only Protection anyone needs is against expansive regulatory instruments marketed to Help, Leading to the restriction of services toward willing participants. Ie: FINRA No thanks
SummaryOver the past 18 months, U.S. securities markets have experienced dramatic volatility. At the same time, individual investors entered the markets in unprecedented numbers—often through self-directed accounts at online brokers—drawn in part by reduced barriers to entry, such as low- and no-commission trading and the ability to purchase fractional shares. Increased retail market
I oppose the proposed restrictions to accessing leveraged ETFs. Creating a two tier system for wealthy elites verses main street investors is not acceptable. It would be wholly inappropriate to force investors out of leveraged positions during a major market correction simply because the SEC has deemed poor people as idiots. I am disgusted with the SEC's pervasive attitude that main street
The Trusted Contact Persons section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
The FINRA Entitlement Program provides a secure way for firms to access many of FINRA’s web-based systems.
I'm a retail investor. From my perspective, the entire reason for the (increasingly public) debate over short-selling regulations stems from the loopholes in reporting that are being exploited to the detriment of investors at all levels and to the detriment of the integrity of American markets at large. In this context, I believe the language in this Notice does not go far enough to allay my
To Whomever this concerns, Please institute rules that will help investors in the American marketplace have faith that the system is not corrupt, that there is a level playing field, and that the government works for the people and not just wealthy and well-connected institutions and individuals. In this modern "information" era, the disparity in the available information to retail
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To provide better geographic coverage to accommodate the delivery of the Continuing Education Program Regulatory Element, NASD has designed the PROCTOR® PRO system. This system provides computerized delivery of the Regulatory Element at remote locations. The PRO system is currently scheduled at
