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Before you can buy a house, you will need to shop for—and qualify for—a home loan.
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
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Customers give registered representatives authority to act on their behalf when they provide authorization to engage in discretionary trading or permit registered representatives to act as trustees or co-trustees, hold Powers of Attorney or serve as executors or beneficiaries. FINRA reminds firms that these roles can expose investors to material risks—e.g., unsuitable or excessive
Crypto assets—also known as digital assets—are assets that are issued or transferred using distributed ledger or blockchain technology. They include, but are not limited to, so-called “virtual currencies,” “coins,” and “tokens.” A particular crypto asset may or may not meet definition of a “security” under the federal securities laws. FINRA rules that relate to securities, or that do not depend on securities status, may impose obligations on the crypto asset-related activities of member firms and associated persons.
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Legal/Compliance Retail Senior Management
Hedge Funds Funds of Hedge Funds Suitability Due Diligence Internal Controls Supervision Training
Executive Summary
As a result of a recent review of members that sell hedge funds and registered products (closed-end funds) that invest in hedge funds ("funds of hedge funds"), NASD staff is
Remarks From the Consumer Federation of America Consumer Assembly
The Fixed Income Mark-Up Disclosure section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.