Direct indexing is a strategy that seeks to replicate performance with direct ownership of securities held in a particular index. This can provide the flexibility to customize holdings and the potential for greater control over tax impacts, but direct indexing also comes with unique risks.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt new Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) that would align FINRA’s definition of an office of supervisory jurisdiction (“OSJ”) and the classification of a location that
Chairman Sarbanes, Ranking Member Gramm, members of the Senate Banking Committee, thank you for this opportunity to testify today on the vital, troubling and timely issues of investor protection and accounting highlighted by the collapse of Enron. It would be hard to overstate the human tragedy for Enron’s employees, pension-holders and investors caused by the failure of America’s seventh largest company.
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
It is absolutely shocking to me that, having ignored the egregious behavior by so-called advisors towards their clients (specifically because FINRA has NOT insisted they act as sworn fiduciaries), FINRA now wants to tell individual investors making informed decisions on their own what they can and cannot do. These are existing, publicly traded securities (vs things like PRIVATE REITS, SPACS, etc
Dear whom it may concern,
We the people are sick and tired of over zealous politicians that really only care about their own corrupt financial dealings attempting to limit ours "for our protection". We will ask for "protection" if that's what we wish our lawmakers to actually do. People shouldn't have political figures attempting to block them
The stock markets built its foundation on that everyone can participate if they have the funds and will to do so, it is experience that makes the difference for every investors and their decisions. Leveraged and inverse ETFs have an essential role in the stock market and in financial investment strategies that are necessary in order to protect my portfolio or hedge some of my investments.
FINRA member firms that use Microsoft SharePoint should be aware of a critical vulnerability that affects certain versions of the web-based platform. This Cybersecurity Alert includes a link to a Microsoft Advisory describing the vulnerability as well as a recommendation to protect your firm. In addition, FINRA recommends that firms review this information with appropriate information technology and information security personnel to alert them to an ongoing threat.
GUIDANCE
Corporate Debt Securities
Effective Date: June 17, 2004
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Operations
Rule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
