FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the fourth quarter of 2022. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of April 10, 2023. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter April 6, 2023 as
FINRA Advises Investors on How to Safeguard Their Brokerage Accounts
Firm Ordered to Pay $4.4 Million in Restitution to Approximately 2,400 Affected Customers
WASHINGTON—FINRA announced today that Transamerica Financial Advisors, Inc. (TFA) has agreed to pay approximately $4.4 million in restitution to approximately 2,400 customers for failing to supervise its registered representatives’ recommendations of three different products - variable annuities, mutual
Mary Schapiro, CEO of the Financial Industry Regulatory Authority (FINRA), expressed deep concern today that some investors may be trying to cope with rocky economic conditions by putting their most valuable assets at risk in an effort to raise cash quickly.
Washington, DC - The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the dates and locations of 14 regional CCOutreach BD seminars that will be held throughout the country in 2008. The announcement was made today at the inaugural event of the CCOutreach BD program, a national seminar at SEC headquarters here.
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
(a) Mandatory Member Participation
(1) Member participation in TRACE for trade reporting purposes is mandatory. Such mandatory participation obligates members to submit transaction reports in TRACE-Eligible Securities in conformity with the Rule 6700 Series.
(2) Participation in TRACE shall be conditioned upon the TRACE Participant's initial and continuing compliance with the following
Investment professionals might hold a variety of designations and other credentials, offered by a multitude of organizations. FINRA’s Professional Designations Database provides information about many of the designations you might see used, including the prerequisites and other requirements for obtaining and holding such designations
I am extremely concerned about the threat to my freedom with regards to my investments. I am fully aware of the risks involved in the leveraged funds I choose. I do not need intervention of the government to make decisions for me and my family. I need to make investment decisions to hedge my finances against the governments decisions. For example, the current administration's policy on
I took the the Financial Program and it did not help. The broker intercedes and advises on all vehicles I trade.
For years I have timed and learned the markets.
It only comes from experience in testing and not some education program. It is trying different vehicles then testing for knowing how they work
Regulations do not protect the beginner and what test can any one come up with to compete with
