Leveraged and inverse funds are important to my investment strategies. I will literally quit investing without them.
In terms of the risks, many of them are based on broad based indices, i.e. SP500 or DOW. As such, these funds are diversified with just a higher volatility. I understand the risk. In market, many other types of risks such as bankrupt risk, fraud accounting risk, etc is non-exist
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has entered into final settlements with three additional firms to settle charges relating to the sale of auction rate securities (ARS) that became illiquid when auctions froze in February 2008.
The Portfolio Margin and Intraday Trading section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
FINRA’s Cyber and Analytics Unit (CAU) is highlighting an Okta data breach spanning from September 28 to October 17, 2023 that impacts Okta customer support system users. Okta reported that threat actors downloaded names and email addresses, along with other relevant metadata, of their customer support system users. The information could be leveraged in phishing or other social engineering attacks and potentially lead to the targeting of firm personnel in an Okta administrator or customer support role.
WASHINGTON—FINRA mourns the loss of former NASD Chairman and CEO Robert Glauber, a tireless advocate for the interests of investors and sound financial regulation throughout his distinguished career in the private, public and academic sectors.
Glauber joined the NASD Board of Governors in 1998 and served as Chairman and CEO from 2000-2006. Among his many contributions to securities regulation,
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
NASD members are advised that on January 13, 1989, the Securities and Exchange Commission (SEC) approved an amendment to Appendix F
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
"This blueprint marks an important beginning to a debate that is critical to the future of investor protection.
"Today's increasingly complex financial services landscape and fragmented regulatory environment has made it nearly impossible for the average investor to navigate the marketplace and fully understand the risks they may be exposed to and the protections they are entitled to.
https://www.linkedin.com/in/john-rhodes-14282b1a9/recent-activity/shares/ https://www.linkedin.com/posts/john-rhodes-14282b1a9_finra-requests-information-from-member-firms-activity-6928406241413087233-BSsr?utm_source=linkedin_share&utm_medium=member_desktop_web Let me get this straight, the Securities and Exchange Commission (#SEC) was created to protect investors and maintain fair