I'm pleased to have this opportunity to talk to you about complex products in the retail market. Complex products have grown in importance as retail customers search for yield and firms look for innovative products to meet this demand and generate revenue.
Continuing Education Planning
Proposed Rule Change to Revise the Series 26 Examination Program
Update to Security Futures Risk Disclosure Statement and Supplement
Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)
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Executive Summary
The National
Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements
A diversified portfolio tends to be harder to achieve than simply following the mantra to avoid putting all of your investment eggs in one basket. This basic strategy can help, but it is often not enough to avoid concentration risk—the risk of amplified losses that may occur from having a large portion of your holdings in a particular investment, asset class or market segment relative to your overall portfolio. Learn more about concentration risk and read tips on how to manage it.
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
(a) No member shall open a margin account, as specified in Regulation T of the Board of Governors of the Federal Reserve System, for or on behalf of a non-institutional customer, unless, prior to or at the time of opening the account, the member has furnished to the customer, individually, in paper or electronic form, and in a separate document (or contained by itself on a separate page as part
