Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) announced today that it has imposed a fine of $275,000 against Credit Suisse Securities (USA), LLC, for failing to comply fully with one of the key terms of the 2003 Global Research Analyst Settlement.
The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert called Beware of Fake Check Scams, warning the public about scams that target job-seekers and those looking to make a little extra cash.
Board Approves Two Rulemaking Items, Meets With External Stakeholders
WASHINGTON – FINRA’s Board of Governors met virtually on September 9 and 10. During the meeting, the Board approved two rulemaking items, and received updates on FINRA’s operations, including the Examination and Risk Monitoring Program Transformation and the Market Regulation Enforcement program.
In addition, the FINRA Board
I oppose restrictions to my right to invest. We are capable of making our own investment decisions and have plenty of information to do so. If I chose to use leverage or inverse funds then I am better off for having access to these types of investments. Do not take this right away. Thank you.
Comments:Please allow an individual to make his or her own choices. The risk I take are mine, and mine alone. I rely on the SEC to keep thing honest, and to make sure people are informed. I have gained a great deal by employing higher risk index funds, and wish to continue. Thanks
SR-FINRA-2008-062 - Proposed Rule Change to Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook
Raising additional barriers to entry different types of investments runs a serious risk of exacerbating economic inequality. Public knowledge of investing topics has increased dramatically over the last few years as access to the market has improved for general public. There will always be those who choose riskier investments and there will always be those who choose safer investments, but it
Board Approves New Maintaining Qualifications Fee;
Reaffirms FINRA’s Financial Guiding Principles
WASHINGTON – FINRA’s Board of Governors met on Sept. 23-24 and approved a proposal to establish a modest fee for individuals who choose to complete continuing education (CE) to remain qualified for up to five years following the termination of the individual’s registration.
On Sept. 21, the
Trade Reporting Notice - 8/14/08 - Trade Reporting Frequently Asked Questions
If I wasnt comfortable with my investment choices I wouldnt make them. I conduct all relevant research before making an investment and leveraged and inverse securities are no different. My broker provides sufficient information with respect to the risk of the investment and I dont believe any additional conditions are necessary from regulators.