SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) in Release No. 34-30929 has announced the adoption of new temporary Rules 17h-1Tand 17h-2T establishing a risk assessment recordkeeping and reporting system for broker/
Numerous retail investors, including myself, responsibly use leveraged ETFs in a holistic investing strategy while understanding the risks. Leveraged ETFs aren't the only ETF that could be dangerous to an uninformed investor, yet we shouldn't limit every ETF that presents volatility. There is no need to punish the informed investor to protect uninformed investors who may decide to pick
Transparency, accountability and a fair market for all investors. This is what retail investors want. -Frequency in reporting should absolutely be on a daily basis. This should be public information. Not a “pay to play” basis. Companies who profit from hiding this information and selling it, only add to the unfair market advantage faced by retail traders. They will need to adjust their profit
Blue Sheet Data
Electronic Blue Sheet (EBS) data files, which contain both trading and account holder information, provide regulatory agencies with the ability to analyze a firm’s trading activity. Firms are expected to provide complete, accurate and timely Blue Sheet data in response to regulatory requests. Incomplete, inaccurate and untimely Blue Sheet data compromises regulators’ ability to
Each member shall develop and implement a written anti-money laundering program reasonably designed to achieve and monitor the member's compliance with the requirements of the Bank Secrecy Act (31 U.S.C. 5311, et seq.), and the implementing regulations promulgated thereunder by the Department of the Treasury. Each member's anti-money laundering program must be approved, in writing, by a
In a dynamic market, financial regulations change frequently because new technologies and opportunities for investors emerge. As the first line of oversight for the brokerage industry, FINRA is your best resource for information. We serve as a clearinghouse for all the latest compliance news, rules and regulations. Join us at our conferences, educational events and webinars to talk about what the newest developments mean for you.
The Annuities Securities Products topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. I understand FINRA is attempting to create a fairer and transparent market but without strict reporting policies in place you
1. Enforcement should be as immediate as possible. 2. Transparency : Give detailed numbers, company names and extended information on your investigation. 3. Bigger fines. Let's be real. The fines you're giving are symbolic. What's even the point exactly? 4. Kinda unrelated but maybe the best way to enforce those ruled is for finra to cease to exist? And be replaced by a public
Teaching kids about financial concepts and prudent decision-making can help them become financially proficient adults and deserves a spot alongside early learning basics. Learn four tips to help build their foundation for financial fluency.
