Veterans who are female, younger, married, divorced or separated, or who have children are faring worse than their veteran peers
WASHINGTON — The financial well-being of U.S. military veterans has improved in recent years, outpacing the gains of non-veterans, according to new research by the FINRA Investor Education Foundation. Veterans, overall, reported having less difficulty covering their
2025 Program Dates: November 16 – 21This course takes place at Georgetown University's McDonough School of Business in Washington, DC. Over five days, Georgetown University business and law school professors and financial services industry experts explore a series of advanced-level regulatory and compliance topics that help participants build on previous coursework covered during Week I.
Proposed Rule Change to Delay the Effective Date of the Changes to the FINRA Trade Reporting and Order Audit Trail System Rules Approved in SR-FINRA-2010-043
I would like to be able to choose whether or not to buy and sell leveraged and /or inverse funds. I don't think I should have to pass any test to insure I know what I am doing. Next step would be to have me take a test in order to buy AT&T (T) or McDonalds (MCD) or Home Depot (HD).
Proposed Rule Change to Amend Rules 12403 and 12404 of the Customer Code of Arbitration Procedure and Rules 13403 and 13404 of the Industry Code of Arbitration Procedure
Washington—FINRA announced today that it has ordered Merrill Lynch, Pierce, Fenner & Smith Inc. to pay more than $7.2 million in restitution and interest to customers who incurred unnecessary sales charges and paid excess fees in connection with mutual fund transactions. The firm did not have supervisory systems and procedures reasonably designed to ensure that these customers, who
It is up to me not the government if I want to invest in leverage securities. I have investments in both leveraged and non-leveraged. I do not need to take a test to decide to do this. Anyone that looks at a funds daily history should easily see they are more volatile than non-leveraged. If they need a test to determine this, then they should not be handling their own investments.
I have a high net worth and significant knowledge of investments and currently invest in leveraged funds. I passed the CFA level I test without any study or preparation for it. I do not see any value in requiring me to pass a test or go through a cooling off period before I invest in leveraged or inverse funds.
Member firms are reminded of their obligation to file, and the due dates for, FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports. The schedules in this Notice outline the due dates for year-end 2007 reports and for 2008 reports.
The Anti-Money Laundering (AML) Compliance Program section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
