I am a suburban daughter who watched and felt helpless in stopping siblings from financially exploiting my parents. I had POA and was their health care agent. I warned their out of state financial advisor that my parents were targets of financial exploitation. Less than three months later, the advisor facilitated over 300K being diverted from my mother as an inherited IRA due to my fathers
I strongly oppose your these unnecessary regulations on inverse and leveraged etf's. Today's investors are very well informed of these and similar investment vehicles and we do not need your meddling in our choices!
You should be looking into ways to better regulate news driven, high speed algorithmic trading where computers key in on pre programed key phrases and can spike or
The FINRA Board announced two newly appointed Industry Governors, received an update on FINRA’s Enforcement Digital Transformation and continued discussions around FINRA’s long-term financial planning.
In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, the first in a three-part series, we learn more about the strategy and the role of the Hub.
I understand that short selling is viewed as important to the health of the stock market; however, when it is used to maliciously attack retail investors, it should in no way be legal. The existence of naked short selling remains a recurrent problem for many stocks, AMC and GME being two of the most notorious. If there is even the possibility of naked shorting, shorting should immediately be
TO: NASD Members Participating in Sales of Direct Participation Program Securities
The National Association of Securities Dealers, Inc. is circulating the attached questionnaire to members which participate in sales of direct participation programs in order to ascertain the level of interest in a communications service that would disseminate information about DPPs to members and sponsors. This
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, April 2, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,766. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
The GI Bill is a valuable benefit that has helped veterans pay for college since World War II. Learn how to make the most of the GI Bill and start using the benefits.
A move to block the public from investing in leveraged and inverse investments comes across as yet another disturbing example of moves to give the financial elite greater opportunities than the average person. Rather than making the excuse that you are trying to protect the public from themselves, it gives the financial elite who would continue to have access to these sorts of investments
In a pump-and-dump scheme, fraudsters accumulate stock, spread positive—but false—information to “pump” up the price, then eventually “dump” their shares, often causing unsuspecting investors to lose money when the stock price then sharply declines. Learn how to recognize and protect yourself against pump-and-dump schemes.
