Comments: Dear FINRA, I fully understand the composition and risks associated with complex leveraged funds. They are short term in nature and utilize complex derivatives, mostly swaps which may or may not be regulated by public markets. They are an excellent way of maximizing short-term returns when identifying a correct short-term trend in a particular market sector. After voicing concern many
Investment fraud comes in many forms, often involving opportunities and offers that seem compelling. To avoid being drawn into a scam, keep your guard up and look for warning signs before you commit to an investment.
Executive Summary
On May 17, 2002, the Securities and Exchange Commission (SEC) approved a rule change requiring members to obtain a signed Subordination Agreement Investor Disclosure Document (Disclosure Document) from each investor before entering into a subordination agreement with that investor.
The Disclosure Document requirement, the text of which is provided in Attachment A, becomes
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
Answers to frequently asked questions regarding FINRA Rule 3310 and AML program requirements.
SEC Approves Amendments to FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition under FINRA’s Minor Rule Violation Plan
Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
SUGGESTED ROUTING:*
Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
The NASD published the following Notices to Members during 1990. Duplicate copies are available at $25 per monthly or
FINRA Rule 5131 (New Issue Allocations and Distributions) addresses potential misconduct in the allocation and distribution of new issues.
I think a free market economy should not need censure of normal accepted commerce activity. Voted against. Here is why:
I think that regulatory overreach ought not occur. It's a free market economy we all participate in, not a private club for special interest groups with an agenda. Anyone with money should be able to transact funds in exchange for securities the market has demonstrated
