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Washington, DC - The Board of Governors of the Financial Industry Regulatory Authority (FINRA) today announced that Richard G. (Rick) Ketchum has been appointed FINRA's Chief Executive Officer.
Washington, DC. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Robert W. Baird & Co. $500,000 for supervisory violations relating to its fee-based brokerage business.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) today announced that the Securities and Exchange Commission (SEC) has approved an important change FINRA requested to its dispute resolution rules that will significantly reduce the frequency of motions to dismiss arbitration cases before investors have a chance to present their case.
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has imposed a $250,000 fine against J.P. Turner & Company, LLC of Atlanta, GA, for failing to have an adequate supervisory system designed to ensure that its registered representatives charged customers fair and reasonable commissions on stock trades.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) will launch a two-year pilot program later this fall that will allow some investors making arbitration claims to choose a panel made up of three public arbitrators instead of two public arbitrators and one non-public arbitrator, as is currently the norm.
Washington, DC — The Financial Industry Regulatory Authority (FINRA) today warned investors about the potential pitfalls of using 401(k) debit cards to borrow money from their retirement funds. The introduction of the 401(k) debit card has made borrowing from a retirement savings account as easy as swiping and spending - a tempting convenience that can have significant repercussions on the card
I am very concerned that there is talk about us having more restrictions on what we can invest in not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. I am able to go online and read the information to decided what to buy and not have to go through any special
Washington, DC - FINRA announced today that it has fined GunnAllen Financial, Inc., of Tampa, FL $750,000 for its role in a trade allocation scheme conducted by the firm's former head trader, as well as for various Anti-Money Laundering (AML), reporting, record-keeping and supervisory deficiencies.
Subject: Investors ability to trade "complex products" - including leveraged and inverse funds (L&I Funds).
Dear Regulators,
I am Kamala Chandrasekaran, 58 years old and I like to voice my opinion regarding your proposal on limiting access to Leveraged and Inverse ETFs (complex products).
Educated Investor: I like to inform you that I am an educated investor in the
Dear Madam, Sir:
I am writing concerning possible restrictions that may be applied to certain securities like leveraged or inverse funds.
I am a private, non-professional investor, but do my homework on stocks. Especially in the last few years, leveraged and inverse ETFs have been an important part of my investment strategy. While they represent a lower percentage of my investment funds, they