We selected the topics in this Report for their interest to the largest number of firms; consequently, they may include areas that are not relevant to an individual firm and omit other areas that are applicable.FINRA advises each firm to review the Report and consider incorporating relevant elements into its compliance program in a manner tailored to the firm’s activities and
FINRA Issues Guidance Regarding the Use of Stop Orders During Volatile Market Conditions
I am opposed to FINRA restricting my ability as a private citizen to purchase securities that are currently available and may continue to be available to institutions. I doubt the funds would go away they would just be blocked for retail and available for insiders once again tipping the scales in favor of the market makers. These funds help to take positions without using margin or assuming
Comments:
Dear FINRA,
The imposed regulations are disgraceful and a preposterous way of protecting investors from leverage. From a private investors perspective it looks like another malicious attempt to gate-keep new investors from the market. If your concern is protecting investors from over leveraging themselves than let them learn through experience rather than barriers. Simply put, these
Hey [REDACTED], I know your plan, regulate this so the market prices crash, let institutions but and then sell for sky high prices. This way they can book profits and you [REDACTED] can get taxes by 4/15 next year to pay for all the expenses incurred [REDACTED] in the WH. The American public is much smarter than what they used to be. [REDACTED] first go and implement this [REDACTED] in the WH [
FINRA has seen a recent significant spike in investor complaints resulting from recommendations made by fraudulent “investment groups” promoted through social media channels. Complaints describe bad actors, posing as registered investment advisers, who advertise “stock investment groups” on Instagram and other social media channels and then turn to encrypted group chats on WhatsApp to communicate with interested investors and pitch investments.
FINRA is a not-for-profit, self-regulatory organization dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our members’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision).
Investment funds pool the money of many investors and invest according to a specific strategy. Funds come in various types, each with differing features. Generally, publicly offered funds — such as mutual funds, exchange-traded funds, closed-end funds and unit investment trusts — must be registered with the Securities and Exchange Commission (SEC) as investment companies.
The FINRA Entitlement Program provides a secure way to access participating Web-based systems with a shared entitlement service.
