The mission of Regulatory Economics and Market Analysis (REMA) is to elevate FINRA’s ability to make sound regulatory and policy decisions and foster innovation in regulation through best-in-class research and analysis.
Investment fraud involving the use of artificial intelligence (AI) is on the rise. Increasingly, fraudsters are using generative AI (GenAI) tools to gain access to financial accounts and create new accounts in the names of unsuspecting investors. Learn steps you can take to help protect yourself.
1. What is meant by a "Queue?"
A Queue is an online electronic listing...
Retail trader here I believe FINRA 21-19 is long over due the integrity of the United States market depends on it and here's why. The policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective reporting, they leave significant specific gaps that could compromise the entirety of 21-19's purpose. It is important for the restoration of both the
May 9, 2022 Jennifer Piorko Mitchell, JD, MBA Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006 Re: FINRA Regulatory Notice 22-08 Dear Ms. Mitchell: Thank you for giving the public an opportunity to comment on the Regulatory Notice 22-08. I am a professor of accounting at the Johns Hopkins Carey Business School. I oppose the rules proposed in Notice 22-08. These rules
INFORMATIONALSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesBoard ElectionsExecutive SummaryThe Annual Meeting of Members of NASD will be held on January 4, 2005, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to the NASD Board. Members can raise other topics for discussion by properly
I have been responsibly using leveraged ETFs as a single-digit percentage of my portfolio for almost three years now, and I personally find the notion that they now could be restricted from individual investors to be utterly outrageous. I am stuck dealing with grossly subpar investments via my pension and Social Security (while I understand the rationale for Social Security writ large), and I
I am opposed to FINRA interfering with my right to invest in funds such as BITO. I am opposed having to get special approval from my broker to invest in any security they are licensed to trade, I am opposed to having to attest to having read an materials. I am opposed to being required to go through and cooling off period, l am opposed to being required to taking a test imposed by a regulated of
To Whom It May Concern:
I want to express my concern against for the proposed regulation that would limit or eliminate my ability in invest the leveraged and inverse ETFs which I currently have in my portfolio that I personally manage. I have used these effectively for years to grow my wealth and therefore:
> I, not regulators, should be able to choose the public investments that are
I vigorously oppose any and all restrictions to my right to invest how I see fit for my family and our unique circumstances, including limitations or prohibitions on investing in leveraged and/or inverse ETFs. I am retired and have been investing many years and understand the complexities and risks of the products in which I invest. Elitists in the government should not be dictating the
