Held between November 2021 and August 2024, the Disclosure Reporting Webinar Series provided basic information about different types of reportable events. These sessions were designed for compliance professionals at FINRA-member broker-dealers who submit filings and documents to FINRA regarding disclosure events that are reportable for registered representatives and firms.The content of the
I fall into the category of investors which this regulatory notice is aiming to protect: I am a relatively young retail investor who has chosen to invest in complicated funds on a self direct brokerage. Therefore, I feel the need to discuss my experience with complex products.
I acknowledge that these funds are more complicated than conventional products. However, complication does not mean
I am an adult capable of making informed decisions. Just think of all the tax revenue that you will lose. It will be in the Billions not hundreds of millions. Thanks, Eric Schodde
Before buying these products, my brokerage house qualified me and informed me these products were for knowledgeable investors. That is all the regulation we should need.
I am an informed investor that believe public investments should be available to all of the public. Leveraged funds are a limited part of my portfolio that enhances my returns.
Do not limit my freedom to manage my own asset. Broker house has done due diligent to inform me about the risk. That is enough!
This data provides comprehensive information on individual transactions in Treasury on-the-run nominal coupons on an end-of-day basis for Treasury securities that traded within the past 10 years.View Data I agree with the Fixed Income Data User AgreementAbout the DataData Glossary Treasury Securities Data GlossaryData SourcesFINRA members report information on transactions in U.S. Treasury
I think it is good and reasonable move. It will help make the market less like casino. The question is how will the test be designed to make it really informative to retail investors.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, UBS Securities and Deutsche Bank Securities a total of $425,000 - and ordered the firms to make payments to customers that could total $420,000 - in connection with the firms' failure to adequately supervise communications with their customers in the initial public offering (IPO) of Vonage, LLC in May 2006.
In observance of Juneteenth, FINRA’s Market Transparency Reporting Systems will be closed on Wednesday, June 19, 2024.
