It is wrong to restrict access to certain investments to only connected, "wealthy" or otherwise selected investors. All market participants are provided investment prospectuses that detail the risks of each fund. It is up to each individual to decide for themselves if the fund aligns with their risk tolerance and objectives, and then research the market to make an informed
Impact: All Firms
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain names “@finrarps.org” or “@finrarps.net”. The domains of “finrarps.org” and “finrarps.net” are not connected to FINRA, and firms should delete all emails originating from these domains. Member firms should be aware that they
Report Reflects New and Evolving Risks, Industry Trends, and Noteworthy Findings
WASHINGTON—FINRA published today its 2023 Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with key insights and observations to use in strengthening their compliance programs.
The comprehensive report from FINRA’s regulatory operations covers 24 topics — including four new topics
I do not believe that I need any help selecting or de-selecting my personal investments. Nor does anyone else.
Investment criteria are personal choices and it is up to the individual to be responsible for gaining the information required to vet the products on offer and then determine for themselves whether these vehicles meet their criteria and in their best judgement serve their investment
It's important for every citizen to have the right to purchase whatever stock we want. We need to retain the freedom to do this. Why take away our freedom. I don't need to take a test to be able to make informed decisions on stock purchases and I don't need anyone else making my decisions for me.
To Whom It May Concern:
Please allow me to continue to make informed choices on what investments are best for me and my family. Leveraged and inverse funds are important to my investment strategy. These funds allow me protect my investments and seek enhanced returns. I use them as a limited part of my overall portfolio.
The Neutral Corner, Volume 6—2008
Read CEO Robert Cook’s email to firms describing outcomes from the September 2020 FINRA Board of Governors Meeting.
This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using either the domain name “@firms-finra.org” or “@firms-sipc.org”. Neither of these domains is connected to FINRA and firms should delete all emails originating from these domain names.
The FINRA Investor Education Foundation, in collaboration with researchers from Rush University Medical Center, released two studies today examining links among financial and health knowledge, cognitive health and financial and health decision making among older persons.
