I don't believe there is any need to enhance current rules for "complex products" as I don't believe leveraged and inverse funds are complex. The information provided by brokerages are enough information.
I don't believe there is any need to enhance current rules for "complex products" as I don't believe leveraged and inverse funds are complex. The information provided by brokerages are enough information.
WASHINGTON—FINRA’s Board of Governors met on February 25-26. The agenda included electing a new Board Chair, as well as discussions on FINRA’s proposed Outside Business Activities rule, TRACE reporting timeframes, ongoing technology initiatives, and the proposed allocation of FINRA’s 2024 fine monies.
April is Financial Literacy Month, making this a great time to think about actions you can take to boost financial capability. FINRA and the FINRA Investor Education Foundation offer many resources to support you and your loved ones along your financial journey.
I believe inverse and leveraged funds already carry appropriate warnings from both the market makers and brokers of these funds. The information is already out there with adequate risk analysis information.
INFORMATIONAL
INSITE Reporting Requirements
Effective Date: December 10, 2001
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INSITE
Reporting Requirements
Executive Summary
On November 27, 2001, the Securities and Exchange Commission (SEC) approved proposed National Association of Securities Dealers,
SLATE is a service of FINRA that performs two major functions: on-line loan transaction reporting and transaction dissemination. Participants (or their designated third parties) are provided with the capability of submitting loan transaction information on CAT, TRACE or RTRS reportable securities.
The FINRA Board approved FINRA’s 2025 budget and a rulemaking item related to outside business activities and private securities transactions, and appointed new members to the SFAC and NAC.
Last Updated: March 11, 2024Dispute Resolution Services (DRS) is publishing this guidance to remind parties and their representatives, arbitrators, and mediators that the unauthorized disclosure of a Suspicious Activity Report (SAR) is a violation of federal law that may be punishable by civil and criminal penalties. As described in greater detail below, three categories of “SAR Information”—SARs
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,
