Borrowing against your home to invest is always risky, and the potentially high value of these loans can make home equity a prime target for scammers. FINRA has seen an increase in reporting of fraudulent schemes involving home loans taken out for investment purposes. Here are some things to know.
As a private investor, I am concerned that the proposed regulations in Notice #22-08 will unnecessarily limit the ability of private investors to effectively manage diverse portfolios.
Legal, publicly available investments should be available to all investors and not unnecessarily limited.
Investment product suppliers and managers should be required to provide extensive information to allow
(a) Making Other Discovery Requests
(1) Parties may also request additional documents or information from any party by serving a written request on the party. Requests for information are generally limited to identification of individuals, entities, and time periods related to the dispute; such requests should be reasonable in number and not require narrative answers or fact finding.
Impact: All Firms
Firms without dedicated information security professionals may wish to review this information with any vendors who provide those services to the firm.
As FINRA continues to observe an increasing number of ransomware attacks impacting member firms, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting an Advisory issued by the
Comments: I strongly support the provision of detailed, useful information about the structure, and past and anticipated future performance of leveraged ETFs, but very much object to limits or prohibitions of individuals' freedom to perform leveraged ETF trades, or to hold onto trades as mid-to long-term investments, especially where a leveraged ETF has a long, documented positive
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistrationTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Effective February 6, 1989, members may obtain disciplinary information on prospective employees either through the Firm Access Query System (FAQS) or by submitting a written request to the NASD. Before
The Communications with the Public 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.
Summary
FINRA is requesting comment on potential enhancements to its short sale reporting program. FINRA is considering: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other
We need more transparency in the market! No more dark pools. accurate information for everyone including three retail investor. We also need sailors to delivers to happen sooner. We need to crack down on synthetic shorts and unreported information (make the fines bigger) it’s like fraud!
Simplistic answer. Get all the information and in the shortest time frames, ex: in t+1. Consumers make purchases/sales for products based on reviews and the history of reviews. Why would a security be any different? You wouldn't want to transact anything if you had only a small % of information and come to find out 35 days later that the place you transacted with isn't dealing with its
