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 Trusted Contact Persons section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
I am a former series 7, 6, 63 from 1994 to 2001. Back then people knew risk, with all the information now the public is so much more well informed that regulation should be MINIMAL. Minimal meaning more of a mediator than a regulator.
Dear Sir, Please retain our ability to trade freely. Our actions are informed by massive amounts of information from diverse sources like Standberry Research, Motley Fools, Dividend Investors, etc. These are not gambled decisions. Thank you.
The Liquidity Risk Management topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
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Executive Summary
On December 3, 1998, the
Last modified: October 16, 2023In accordance with the FINRA Codes of Arbitration Procedure (Codes), FINRA Dispute Resolution Services (DRS) is notifying state securities regulators of requests to expunge customer dispute information from the Central Registration Depository (CRD®) received by DRS within the past 15 days that are not deficient. See FINRA Rules 12800(f)(1), 12805(b), and 13805(b)(2
For many years I have been investing in leveraged and inverse funds for many years. Throughout this time I have never considered such funds to be "the way to easy money". I have been cognizant of the risks involved and have been properly informed by my broker (Fidelity Investments) regarding the special characteristics of leveraged and inverse investing. I have never received
As a personal investor, I understand the risk and reward with leveraged products. In todays time, there is plenty of information available for someone to make an informed decision around suitability. They are not for everyone, but for those that understand the risk, they can be a great addition to their portfolio. There does not need to be regulation around self-directed investing.
