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FINRA poses several questions for firms to consider as they evaluate whether their supervisory systems are reasonably designed to address risks of their SPAC-related activities. These questions are based on FINRA’s observations to this point in our review. In addition, the Appendix notes additional guidance FINRA has provided regarding member firms’ relevant obligations.
The Securities and Exchange Commission is in the midst of tackling a number of issues that affect broker-dealers and customers. During FINRA’s Annual Conference, SEC Chairman Jay Clayton joined FINRA President and CEO Robert Cook for a conversation about these securities industry trends. The two discussed the SEC’s approach to standard of conduct rules, the impact of cryptocurrencies and
This proposed legislation makes no sense to me. Every investment caries risk. In fact, most stocks are a poor investment choice. Right now even the PURCHASE OF A HOME is probably a terrible investment choice. Nevertheless, as a citizen I am under the impression that it is still my right to make my own choices regarding how I invest my money.
I think it is absurd to presume that only a "
Securities regulators raise awareness that increased social isolation during the ongoing COVID-19 pandemic can have a devastating impact on senior investors, offering tips and resources.
The Observations on Liquidity and Credit Risk Management section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
(a) Except as provided in paragraph (b), no member that is promoting a day-trading strategy, directly or indirectly, shall open an account for or on behalf of a non-institutional customer unless, prior to opening the account, the member has furnished to each customer, individually, in paper or electronic form, the disclosure statement specified in this paragraph (a). In addition, any member
As part of our mission to protect investors and safeguard market integrity, FINRA monitors and assesses FINRA-registered firms and their registered representatives through our Examination and Risk Monitoring programs.How We Do our WorkOur Exam and Risk Monitoring programs are a critical component of FINRA’s regulatory operations and one of the primary means by which we oversee the activities of
Joint sales efforts by member firm and non-member real estate firm of private placements in real estate condominium complexes raise the question of whether the realtors or persons acting on behalf of the issuer would be required to register as broker/dealers.
With over 20,000 companies whose shares trade either on a U.S. exchange or in over-the-counter markets, there’s ample room for confusion. Fundamental research and an understanding about the way in which stocks are listed and traded can go a long way toward helping you make sound investment decisions.
The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs.