Katie Kuehns partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design, and leadership effectiveness.Ms. Kuehns joined FINRA in 2007 and has served in a range of roles responsible for various aspects of Human Resources including Business Partnering, HR Strategy and Total Rewards.Ms.
In conjunction with World Investor Week 2024, the SEC’s Office of Investor Education and Advocacy (OIEA), FINRA and other industry regulators are issuing this Investor Bulletin to provide investors with information about the ways in which emerging technologies like AI and crypto assets, and digital platforms like social media and mobile trading apps, are increasingly influencing how people invest.
On Thursday, March 18th, FINRA will conduct the first of its planned updates related to OATS retirement. During the call, FINRA staff will provide an update to the industry related to the OATS retirement efforts, including an overview of the related rule filing, status on the required accuracy and reliability standards that must be met before OATS can be retired, and a look ahead at
I read with concern the notice from Ameritrade that there is pending regulation on my ability to self-direct my investments in my company's 401k plan into leverage ETF funds. For the life of me, I cannot think why this proposed restriction would be necessary. Self-directed investors are well aware of the risks involved with any sort of investment and should be free to take additional
To Whom This May Concern,
I have been investing for many years and manage my own retirement planning. I would like to be able to choose what investments I make. The government should not be trying to protect me from my own choices. Everyone should be able to participate in investing as they see fit and to their own risk tolerance level. I do not object to educational info on riskier
I have spent 50 years perfecting my investment process both personally and for clients. I managed to survive and flourish through 8-9 bear markets. I accomplish this by using the most broadest of diversifications including being able to sell short markets. Inverse etfs including leveraged ones are important tools to have in the tool box to accomplish this. they are convenient and in many ways
We already sign disclosures at brokerages warning us about the potential dangers of leveraged products. This is a huge slap in the face for retail investors and a ton of unnecessary road blocks for us that would separate us even further from institutional investors. The HUGE detrimental affect this would have on me would be insurmountable. I have leveraged ETF positions that are currently in the
Rules and procedures applicable to members seeking to hire or retain a person who becomes "subject to disqualification," and for members that themselves become subject to disqualification
Appendix C.II. Data
On February 28, 2017, FINRA published Appendix C.II. data for the months of April 2016 through January 2017. Going forward, each month’s data will be available on FINRA’s website by the 30th calendar day of the following month. Access the Appendix C.II. data.
Delay in Publishing Appendix B Data
FINRA and the other Participants have requested an exemption
<p align="left">Applicability of Rule 2820(g) to payments to an associated person from an issuer's deferred compensation plan.</p>
