Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees and Hears Latest on FINRA’s Advanced Analytics Strategic Initiative
As a retail investor, I do not wish to see so-called Complex Products subject to additional regulation. Every major trading platform provides lengthy disclosures about these products. All investors using these products already have the tools necessary to understand them and become familiar with the risks if they so choose. Further restricting access to these products by ordinary investors
FINRA is highlighting a recent Federal Bureau of Investigation (FBI) Flash published on August 23, 2023. According to the FBI Flash, all exploited Barracuda Email Security Gateway (ESG) appliances, even those with up-to-date security patches, remain at risk for continued computer network compromise from threat actors exploiting a zero-day vulnerability documented in CVE-2023-2868.
Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bonds for potentially suspicious activity around material news events, resulting in hundreds of referrals to the SEC and law enforcement every year. On this episode, we hear how the team connects trading data, information from public sources and from companies and FINRA firms to pull together actionable intelligence.
GUIDANCE
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Close-Out Requirements
SEC Regulation SHO
SEC Rule 203(b)(3)
Short Sales
Executive Summary
NASD is issuing this Notice to highlight recent
The core notion behind this campaign is that retail investors are not knowledgeable enough, intelligent enough or informed enough to decide what to do with are hard earned money. The state already takes from us, in the form of taxes, monies to fund social security and invest those funds in h way congress sees fit. It would seem only fair that what is left for us to invest, be done so by what we
It is common knowledge that markets are manipulated by large funds and privileged wealthy investors. Leveraged and inverse funds are the small investors way to level the playing field. People should have the right to make their own financial decisions. Information regarding risks is adequate to inform an investor who should take responsibility for their own actions. Passing a knowledge test does
Public investments should be available to all of the public, regardless of net worth. If attesting to having read information about an investment is deemed an appropriate balance, I would be supportive of that.
I would be opposed to banning any products. Information is readily available for anyone who seeks it. People have to take responsibility for their own decisions. You can't regulate it.
Please to not restrict the public's ability to invest in a broad array of securities. It is more important that information and risk be disclose than for an individual to be required to pass a "test" in order to invest.
