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The purpose of unclaimed property laws is to protect consumers by ensuring money owed to them can be returned to them or any heirs. But those same laws can cause headaches for consumers who don't stay on top of their accounts.
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and
NASD Imposes $200 Fee for Form 211 Applications
On January 2, 1992, the SEC approved a proposed rule change by the NASD relating to a fee for Form 211 applications filed with the NASD pursuant to Schedule H, Section 4 of the NASD By-Laws. The rule change is effective immediately and, as a result, a $200 filing fee will be required together with each Form 211 application received on or after
Regarding FINRA Regulatory Notice #22-08
I am an investor that values the United States investment opportunities provided by Both un-leveraged and leveraged funds. I understand the risks involved and swings in volatility. Yes, the market rises and falls. Yes, volatility is ever present. It is exactly those swings in price and the ensuing volatility that allows investors to profit from their
In re FINRA Regulatory Notice #22-08:
I strongly disagree with any restrictions being put into place that would not allow myself and my household from being able to invest into leveraged funds. Investing in leveraged and inverse funds are taken after careful consideration and are used as a valuable investing tool. I should not be burdened with undertaking any additional special processes before
FINRA Rule 4530 (Reporting Requirements) requires firms to promptly report to FINRA, and associated persons to promptly report to firms, specified events, including, for example, violations of securities laws and FINRA rules, certain written customer complaints and certain disciplinary actions taken by the firm.
The Credit Risk Management topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
Firms that are members of FINRA as of the close of business on Friday, October 18, 2019, are eligible to vote for the contested seats on the Regional Committee corresponding to the district in which
Beginning Monday, November 6, 2023, as described in Regulatory Notice 22-28, FINRA will require firms to report transactions in U.S. dollar-denominated foreign sovereign debt securities to TRACE.
I (not regulators) know my financial situation, investment time horizon, and how I want to structure my portfolio to meet my financial goals. I should be able to choose investments that are right for me and my family without government interference.
Leveraged funds are an important component of how my portfolio is structured, and I shouldn't have to go through any special process like