Succession planning is important not just for customers and representatives but can even be a matter of life or death when it comes to the continued existence of a firm. On this episode, we hear how and why firms should plan for the expected and unexpected in life.
As an investor I am aware of the risks and practice due diligence when investing. Inverse funds play an important role in my personal investment strategies. I hedge the markets during times of volatility with Proshares "VIXY" and earn a constant flow of income with options of this instrument. With all investments there is risk, I have been investing for over 30 years and I accept the
The Cybersecurity and Technology Governance section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) observations and effective practices, and (3) additional resources.
Any security trading in the general market should be available to all investors. There should be no discrimination made between different types of investors vis-a-vis allowing one to trade and prohibiting another. It would be a discriminatory practice otherwise.
However, for more risky asset classes, the risks should be clearly explained to the investors so that they can make judicious and well-
- Individual investors should be able to make their own risk decisions - Investors can obtain leverage through margin. The amount of leverage can be adjusted by the investor. Leveraged funds are different in that the leverage is predetermined and formulaic. The risks are well known at this point and appropriately explained in the relevant prospectus. Most individual investors can gain leverage
Comment Period Expires May 31, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Published January 5, 2024.Updated July 10, 2024.*On May 22, 2024,1 the requirements relating to Covered Agency Transactions, as amended pursuant to SR-FINRA-2021-010,2 went into effect. “Covered Agency Transactions,” as defined more fully under amended Rule 4210(e)(2)(H)(i)b., are (1) To Be Announced (TBA) transactions (inclusive of adjustable rate mortgage transactions) with settlement dates
I have been safely and profitably investing in a leveraged, inverse fund for years in taxed and tax-deferred accounts.and have been investing in stocks, bonds and derivatives for decades. Leveraged, inverse funds are only a small part of my investment portfolio and are an even smaller part of my net worth. I understand the risks and mitigate them by buying shares only when the risk is relatively
Summary
FINRA is issuing this Notice to inform members that it is discontinuing collection of data under Rule 4540. The data collected under Rule 4540 is used in the Integrated National Surveillance and Information Technology Enhancements program (INSITE). The decision to discontinue the collection of data under Rule 4540 at this time is based on the availability of alternative sources of data