I dont agree with the additional requirements. Information about the risks involved are sufficient
This will negatively impact the trading capacity of younger, yet informed, traders such as myself.
Keep all the etfs and funds. Keep regulations, warnings and information as well.
We selected the topics in this Report for their interest to the largest number of firms; consequently, they may include areas that are not relevant to an individual firm and omit other areas that are applicable.FINRA advises each firm to review the Report and consider incorporating relevant elements into its compliance program in a manner tailored to the firm’s activities and
INFORMATIONAL
Corporate Debt Securities Transactions Subject to Reporting and Dissemination
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KEY TOPICS
Continuing Education
Legal & Compliance
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In-Firm
SummaryIn this Notice, FINRA reminds members of their obligations when selling private placements (i.e., unregistered offerings sold pursuant to the Regulation D safe harbors under Sections 3 and 4 of the Securities Act of 1933 (Securities Act)). In Regulatory Notice 10-22 (Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings), FINRA reminded members of
On April 20, 2015, FINRA launched the Securities Helpline for Seniors to provide senior investors a source of trustworthy information and assistance. Since its inception, Helpline staff has taken more than 13,000 calls and brokerage firms have voluntarily returned more than $5.3 million to brokerage customers because of information and help provided by the Helpline.
Many callers are simply
FINRA Gateway - Exam Requests
FINRA 21-19 is something that our "free and fair" markets desperately need. For too long, retail investors like myself have been kept in the dark. It has become more clear than ever that our markets are teetering on a sword's edge due to a lack of transparency and accountability. - Account-level Position Information: Alternatively, FINRA is considering requiring firms to report (
NASD has filed with the SEC a proposed rule change to adopt Rule 2130 governing the expungement of customer dispute information from the Central Registration Depository (CRD® or CRD system) and various internal guidelines to be adopted by NASD regarding the handling of requests to expunge customer dispute information from the CRD system.
