In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must establish its own
X-CHANGE FINANCIAL ACCESS, LLC222 W ADAMS STREET SUITE 450, CHICAGO, IL 60606XLII FINANCIAL SERVICES LLC10023 APPLE CREEK DRIVE, DALLAS, TX 75243XML SECURITIES6901 ROCKLEDGE DRIVE, SUITE 730, BETHESDA, MD 20817XMS CAPITAL PARTNERS, LLC321 N CLARK STREET, SUITE 2440, CHICAGO, IL 60654XNERGY FINANCIAL LLC1801 CENTURY PARK EAST, 25TH FLOOR, LOS ANGELES, CA 90067XP INVESTMENTS US, LLC55 WEST 46TH
It's the basic principle of "free market" that the retail investors should be able to choose whatever products (including Options, Futures and Other Derivatives) to fit their investing strategy. Taking this right away will even broaden the wealth gap between retail investors vs the riches who could leverage institutional service. The liquidity of the market will be
I'd like the freedom to determine my own financial risk and investments. I've studied the financial market for more than 30 years via paid services, books, newsletters, etc. I watch my portfolio closely using paid advisor review my portfolio decision based upon my life situation and risk profile. I absolutely do NOT want to have a financial agent of the federal government
Comments: I read the FINRA document and as a 30-year veteran of the financial services industry and held numerous FINRA registrations and licenses throughout my career I find this document to be a gross overreach of government regulation and intrusion into my personal financial decisions.
FINRA needs to be focused on educating investors, requiring adequate & appropriate risk
SummaryFor the past two years, FINRA has encouraged firms to keep their Risk Monitoring Analyst (formerly known as a “Regulatory Coordinator”) informed if the firm, or its associated persons or affiliates, engaged, or intended to engage, in activities related to digital assets, including digital assets that are non-securities.1 FINRA appreciates members’ cooperation with this request and
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Sample Affidavit - Disciplinary
Sample Affidavit - Expedited
Sample Answer
Sample Case Caption - Disciplinary
Sample Case Caption - Expedited
Sample Case Management and Scheduling Order - Disciplinary
Sample Case Management and Scheduling Order - Expedited
Sample Certificate of Service
Sample Declaration - Disciplinary
Sample Declaration - Expedited
Sample Exhibit
Sample Financial
Hello, I am an experienced trader and actively utilize leverage ETF's and I am requesting to allow the public continue to utilize these investment strategies. I have gone through training for stock trading and ETF's.
If you want to educate the public add investing to the US education system for high schoolers. They should be receiving education to manage their money and
I found out about the request for comment through https://www.leteveryoneinvest.com/ which in my opinion gives very misleading information about what FINRA is trying to do here. First, I think FINRA's enforcement of existing rules and regulations is extremely poor and that should be addressed before anything else. What's the point of adding additional suitability rules when the agency
