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FINRA announced today that it has appointed Bill St. Louis as Head of Enforcement, effective immediately. St. Louis, an Executive Vice President, was most recently head of FINRA’s National Cause and Financial Crimes Detection Program (NCFC). St. Louis will be responsible for the management of approximately 350 enforcement staff in 11 offices across the United States and will report directly to FINRA President and CEO Robert Cook.
Washington, DC — The Financial Industry Regulatory Authority (FINRA) announced today it will offer incentives and special programs designed to promote mediation and educate potential parties about the benefits of its dispute resolution program during Mediation Settlement Month in October. During Mediation Settlement Month, parties mediating cases with FINRA will be able to do so at significantly
Firm Violated Reg BI, Excessively Traded, and Churned Numerous Customer Accounts, Including Those of Gold Star Families
WASHINGTON—FINRA announced today that it has expelled Monmouth Capital Management for churning and excessively trading customer accounts in violation of Regulation Best Interest (Reg BI), failing to supervise its representatives, and providing false and misleading disclosures
FINRA CEO Robert Cook, members of the FINRA Board of Governors and FINRA staff provide updates from the December 2019 FINRA Board of Governors meeting.
To whom it may concern, As a private individual investor, I am adamantly opposed to any regulation restricting our access to leveraged and inverse funds. We do not need, nor want, the oversight and binding of regulators to protect us from our investment decisions and choices. Regulators consistently allow unrestricted free-reign to the investment bankers and Wall Street cronies who have captured
FINRA,
Its incumbent upon any investor who so chooses to invest in public securities, to first conduct their own due diligence by researching and becoming informed concerning the potential gains/losses that may be incurred. Therefore I do not feel it is necessary for additional regulations that would curtail, impede or prevent the publics access to their investing pursuits. Understanding the
Per your consideration of limiting my investment options, I believe this would be an infringement on the publics right of self determination. I have been involved in closely in investment markets for approaching 45 years, studying and actively participating. I find that I am frequently more informed and a better manager than even many professionals. LIMITING the investment vehicles I have at
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsSystemsTrading
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EXECUTIVE SUMMARY
As previously reported in Notice To Members 88-104, the NASD, beginning February 12, 1989, will require its members to respond to requests for trading data using an automated format. The format is consistent with
I am more than capable of choosing the publicly traded investment that are appropriate for me.
There is an abundance of easily available information on markets and the economy via the internet so that any reasonable adult can make adequate decisions on publicly traded investment funds, including leveraged ETF's.
Investing in ETF's, including leveraged funds is no riskier (and in
Submit to FINRA a signed/notarized hard copy CRD printout of Form BD. Make sure the firm’s Financial and Operations Principal (FINOP) is listed on Schedule A of Form BD.
Submit Form BR requesting registration of at least one branch office location. Learn more about branches on the Manage a Branch Office Registration page.
Request principal registration for at least two qualified