FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
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Executive SummaryThe purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the North region and one representing the West region. FINRA small firm members1 in those regions as of the close of business on Thursday, October 17,
This action is not based on any evidence of misuse of leveraged ETFs. Arguably, this action would push investors into far riskier investments such as cryptocurrencies, margin trading, short term options, and penny stocks - why draw the line at leveraged ETFs? Utilizing a leveraged ETF tracking DOW30 and S&P500 as a small percentage of my portfolio helps me enhance my returns. Leveraged
Abby Slonecker joined FINRA in early 2021 as Chief of Staff to Greg Ruppert and Senior Vice President of Member Supervision’s Office of Strategy and Program Risk (OSPR). In her role as Chief of Staff, she executes Greg’s strategic vision toward fulfilling FINRA’s mission and advises his Senior Leadership team. As SVP of OSPR, she oversees five teams that advise and support Member Supervision’s
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MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed Corporate Financing Rule (the "Rule") that, if adopted, would replace the
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Direct Participation Programs Limited Principal (Series 39)
Direct Participation Programs Limited Representative (Series 22)
Equity Trader Limited Representative (Series 55)
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FINRA administers access to secure applications for various regulatory purposes. Learn more below about how you can request access to the appropriate systems:Request Access via Super Account Administrator (SAA) FormBroker-Dealers, Capital Acquisition Brokers (CABs), Funding Portals, Investment Advisers, Private Fund Advisers, Regulators and Service ProvidersCreate Your Own Account (Register New
1) What is the single most neglected area in the field of investor education? How might this area be developed? ANSWER: While the barrier of entry to investment markets is lower than ever with online low cost trading platforms, etc. - the technical knowledge required to make informed corporate investment decisions, creates a huge barrier to the average investor. A single most neglected area is
I am a private trader/investor. I have been using inverse and leveraged vehicles for many years in addition to more traditional vehicles. I have both made and lost a huge (for me) amount of money in them, but with time and trading experience I have been able to learn to trade them correctly greatly to my advantage. My issue with the proposed regulations is that the present regulatory attempts I
