Displaying 1411 - 1420 of 4652 Results
Comments: Restricting an investor's access to investment products will only put them at a disadvantage. These tools fit into a number of viable investment strategies, and can be useful to hedge a portfolio to mitigate risk. Having higher net worth doesn't not necessarily make someone a more intelligent, qualified investor. Providing information and making investors aware of
Regulators are spending a lot of time informing traders on ways they cant get make money. Its awful to see big name companies and hedge funds find ways to stay rich while regulators focus on stopping retail traders from trading. We dont tell regulators how to do their jobs but we constantly have to hear from then on how we can trade.
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from FINRA and using the domain name “@gateway-finra.org.” The email asks the recipient to click a link to “view request” and provide information to “complete” that request, noting that “late submission may attract penalties.”
FINRA recommends that anyone
I’ll keep it short (no pun intended) and simple: as a retail investor, all I am asking for is a fair, level playing field. Currently, we are not getting that. Please adjust and enforce the rules so all retail investors receive the same timely information and opportunity as the Hedge Funds. Thank you!
Now that the market is digital start transferring all information using blockchain formulas similar to or Ethereum. This is a circumvention of responsibility by either not reporting or misreporting. If you take away the report and make it instantaneously reported you could track it and it would instantly report itself. It would also protect itself.
The Fund Analyzer offers information on over 30,000 mutual funds, Exchange Traded Funds (ETFs), and Exchange Traded Notes (ETNs).
Please introduce all of the key points stated in your statement. It is vital that retail investors have access to the same information and data as institutional investors. Especially when it comes to short interest data and number of failure to delivers which have a huge effect on share price. Thank you.
SUGGESTED ROUTING
Senior Management
Government Securities
Internal Audit
Legal & Compliance
Executive Summary
The Department of the Treasury (Treasury) recently approved amendments under the Government Securities Act of 1986 (GSA) that establish risk assessment rules for government securities broker/dealers registered under Section 15C (Section 15C broker/dealers) of the Securities
Summary
FINRA is alerting firms to a recently identified vulnerability in Apache Log4J software, which is an open-source, Java-based logging utility widely used by enterprise applications and cloud services. The “Log4Shell” vulnerability presents risk for member firms because they may be using this software in internal applications, or the software may be embedded in third-party software
Your financial firm may request that you give them the name and contact information of a “trusted contact.” While it’s not mandatory that you do so, FINRA, the North American Securities Administrators Association (NASAA) and staff from the SEC Office of Investor Education and Advocacy urge you to consider providing the name of someone you trust as a contact on your accounts.
What Is a