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Uninvested cash is a potentially valuable part of your investment portfolio. So it pays to pay attention to it, especially when interest rates move up or down. Understand the facts about your uninvested cash, the different cash management programs available and questions to ask.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as approved by the SEC pursuant to SR-FINRA-2015-036. The proposed rule change would amend, under FINRA Rule 4210, paragraphs (e)(2)(H), (e
Exchange-traded products (ETPs) including exchange-traded funds (ETFs), exchange-traded notes (ETNs), and commodity and currency ETPs have surged in popularity over the last decade. Risks vary for each product, with some types of ETPs exposing investors to both complexity and significant danger of losses. Volatility-linked ETPs are one such example.
Anyone who follows the stock market knows that some days market indexes and stock prices move up, and other days they move down. This is called volatility. The more dramatic the swings, the higher the level of volatility—and potential risk.
The Fraud Spotlight is a free webinar series hosted by FINRA’s Financial Intelligence Unit that focuses on emerging financial crimes, threats and trends.
These events are open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.
Upcoming Webinars
There are no scheduled webinars at this time.
On Demand Recordings
On demand
Summary
FINRA has adopted changes to its rules to allow for video conference hearings before the Office of Hearing Officers and the National Adjudicatory Council under specified conditions. These amendments will become effective August 23, 2023.
Questions concerning this Notice should be directed to:
Philip Shaikun, Vice President and Associate General Counsel, Office of General Counsel (OGC