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(a) Definition of Principal and Principal Registration Categories(1) Definition of PrincipalA "principal" is any person associated with a member, including, but not limited to, sole proprietor, officer, partner, manager of office of supervisory jurisdiction, director or other person occupying a similar status or performing similar functions, who is actively engaged in the management of
The Variable Annuities section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Outside Business Activities and Private Securities TransactionsBooks and RecordsRegulatory Events ReportingTrusted Contact PersonsCrowdfunding Offerings: Broker-Dealer and Funding PortalsPrevious:Crypto Asset DevelopmentsUp:Firm OperationsNext:Outside Business Activities and Private Securities Transactions
Outside Business Activities and Private Securities Transactions
Books and Records
Regulatory Events Reporting
Firm Short Positions and Fails-to-Receive in Municipal Securities
Trusted Contact Persons
Funding Portals and Crowdfunding Offerings
Previous:Manipulative Trading
Up:Firm Operations
Next:Outside Business Activities and Private Securities Transactions
Comments:please keep trading for this ETFS for private traders.
This is not fair for private investors to hedge market volatility
I oppose further regulations on private individual investors.
Summary
FINRA is adding two new Rule 4530 Problem Codes related to SEC Regulation Best Interest (Reg BI) and Form CRS, and making related amendments to the existing Rule 4530 Problem Code related to suitability. Starting on July 18, 2020, firms can use new Problem Code 16–Reg BI and new Problem Code 17–Form CRS, when applicable, to report customer complaint information and required documents
Good morning,
I am writing to discuss the impact that limiting leveraged funds would have on me as a private investor. I, as a private investor, feel confidently that I have the knowledge and experience to make personal decisions of how I invest my own money. I do not feel that it is in the purview of regulators to make determinations as to where and how I am able to use money for long-term and
I am a retired citizen and an active private investor. I never had a job that provided me with a pension. I taught myself how to invest through trial and error. One of the great developments in investment products at the end of 1997 was that of ProFunds' making available inverse funds and leveraged funds. Both of these categories of mutual funds provided me more flexibility in how I