I have been contacted by a website called "Let Everyone Invest" that says under the regulations being considered by the Financial Industry Regulatory Authority (FINRA), if these public securities are deemed to be complex, you may not be able to buy them unless you: Pass a regulator-imposed test of your specialized investment knowledge Demonstrate a high net worth Get special approval
SummaryFINRA, as a self-regulatory organization, is informed by and benefits from the expertise of industry and other stakeholders. As such, FINRA has multiple committees that facilitate effective engagement with member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose
Do not restrict my ability to choose the public investments that I decide to buy/sell. I have been investing for over 30 years and am completely capable of making my own choices without the help of a registered broker. I use both leveraged and inverse funds when I deem them advantageous to my investing plan. I know how to place stops, sell, etc when I do not want them in my portfolio. I have the
WASHINGTON—FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from across FINRA’s Member Supervision, Market Regulation and Enforcement programs that member firms can use throughout the year to strengthen their compliance programs. The report reflects FINRA’s commitment to providing transparency to member firms and the investing public about its regulatory observations and activities.
April 1999
How Broker/Dealers Can Address Customer Concerns About The Year 2000
Investors are aware of the potential problems caused by the coming century change. As a result, they may consider changing their investing habits and strategies leading to more frequent questioning of their brokerage firms about the Year 2000 issue.
Leading up to the new year, it is important that broker/dealers
Account Statements: 08-77
Auction Rate Securities: 08-21
Bond Mutual Fund Volatility/Risk Rating: 00-23, 01-58, 03-48, 06-05
Books and Records: 96-82, 98-11, 03-33, 05-27, 06-45, 08-12, 08-28, 08-73, 10-06, 11-39, 17-18
Branch Offices: 02-52, 05-66, 05-67, 06-12, 14-11
Brokerage: 13-23
BrokerCheck Link: 14-19, 15-50
Capital Acquisition Broker Rules: 16-37, 17-14
Capital Formation: 17-14
The staff granted an exemption from FINRA Rule 5130 with respect to purchases of “new issues” by the Canada Pension Plan Investment Board.
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Regulatory Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council), on which the National Association of Securities Dealers, Inc. (NASD®)
The FINRA Board announced two newly appointed Industry Governors, received an update on FINRA’s Enforcement Digital Transformation and continued discussions around FINRA’s long-term financial planning.
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
