Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is a not-for-profit organization that oversees U.S. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence.
A regulator should not restrict the ability of a private investor to invest/trade any leveraged ETF nor should there be any restriction on shorting the market through an ETF.
The Risk Control Assessment (RCA) survey is an important component of FINRA’s risk-based exam program—the goal of which is to have our examiners better prepared when they arrive at firms and more focused on those areas that present a real risk to investors or the marketplace.
GUIDANCECorporate Debt SecuritiesSUGGESTED ROUTINGKEY TOPICSCorporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTrainingDebt SecuritiesOperationsRule 6200 SeriesTRACE RulesTransaction Reporting Executive SummaryNASD provides interpretive guidance on the meaning of the terms "foreign private issuer" and "issue date
SummaryFor the past several years, FINRA has encouraged firms to keep their risk monitoring analyst 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 is encouraging firms to continue to keep
Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls; Comment Period Expires: June 13, 2008
I as a private citizen should be allowed to make investment decisions without being regulated, this is part of what makes America great and leads to inovation on many levels.
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, which can include advising companies and private equity funds on capital raising and corporate restructuring and acting as placement agents for the sale of unregistered securities to institutional investors under limited conditions. CABs are not permitted, among other things, to carry or maintain customer
FINRA’s Board of Governors met on December 4-5. The agenda included discussions around FINRA’s 2025 budget, FINRA’s Outside Business Activities and Private Securities Transactions rules, and an overview of the 2025 FINRA Annual Regulatory Oversight Report.
I am writing to express my opinion about regulating investment choices.
The government has no right to interfere with a person's choice of where to invest. This is a personal and private matter.
