I want to keep investing in these leveraged ProFund. Leveraged and inverse funds are important to my investment strategies.
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Committee on Banking, Housing, and Urban Affairs United States Senate
On Thursday, September 1, 2022, FINRA will begin to collect data on depository institutions’ daily transactions in marketable U.S. Treasury securities and in the debentures and MBS issued by U.S. federal government agencies, including government-sponsored enterprises (agencies), via its Trade Reporting and Compliance Engine (TRACE).
A second production User Acceptance Test (UAT) will occur on
I am a retail investor. I believe OTC options trades are a great systemic risk as they are not properly regulated. As FINRA is an SRO I believe it should be required that all OTC options chains be publicly disseminated in order for regulatory integrity and public trust to be maintained. In order to maintain competitiveness and not price smaller firms out of the market, FINRA should create a
The COVID-19 pandemic disrupted many facets of American life but did not derail a trend toward increasing financial capability. Still, not all Americans are benefiting equally from improvements in financial wellbeing, according to the new FINRA Foundation Financial Capability Study. On this episode we delve into the latest results of this nationwide, triennial study.
While I support education about so-called 'complex' investment products, imposing restrictions on purchasing such products is not the right approach. For many years, financial products have been plagued with excessive 'legalese' -- which is the biggest barrier to investors understanding the products in which they are investing. Even the SEC is guilty of obnoxiously wordy
Summary
FINRA has adopted changes to its rules to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings and appeals.1 FINRA has also amended its rules to require parties in proceedings before the Office of Hearing Officers (OHO) to file and serve the parties with their current email address and contact information at the
1. Does Rule 5110 apply to public offerings that also are regulated under Rule 2310?
Yes. Rule 2310 regulates the underwriting terms and arrangements of direct participation programs and unlisted real estate investment trusts (collectively, “Investment Programs”) that are publicly offered. All public offerings in which a member participates, with limited exceptions provided in Rule 5110(h),
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Last modified: June 15, 2022
The Financial Industry Regulatory Authority, Inc. ("FINRA" ) develops, produces, and licenses financial services industry-related materials and courses that are made available on the FINRA.org website (https://www.finra.org/rules-guidance/key-topics/senior-investors/elder-abuse-prevention-training). The materials and course
