From cryptocurrency to NFTs and other options beyond your 401(k), choosing the right investments to meet your financial goals can feel overwhelming.
FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
So Investments are too complex for us "regular" people? Discrimination much? Investments are only for those with a high net worth? Discrimination much? It's 2022, the time where we all talk about discrimination and how we can fix it. Well with what's been coming out of lawmakers hands in 2022, has been fueling the discrimination fire. I started investing in 2021 when CoinBase
FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision).
Board Appoints Lisa Fairfax as New Public Governor, Approves 2022 Annual Financial Report and Adds New Members to Advisory Committees
WASHINGTON—FINRA's Board of Governors met on May 17-18 for the second time in 2023. During the meeting, the Board appointed a new public governor, approved FINRA’s 2022 Annual Financial Report and added new members to Advisory Committees.
The Board appointed
It would be perilous to impose further checks that can be arbitrarily initialized by brokers with an existing conflict of interest via execution of Dark pools or naked shorting. With the flux of retail investors and the massive flux of public man-hours allocated to investigation of the current regulatory systems. Even with tepid limitations on tort in Canada; The existing premium paid for latency
I am strongly opposed to any regulations that restrict my ability to buy or sell any form of financial security. Only I truly know what is best for my financial stability and what I am and am not able to participate in. Financial advice is one thing, and I am always open to such, as well as additional education and training, but at the end of the day I should be free to make my own choices when
Testimony of FINRA Chairman and CEO, Richard Ketchum, Before the Subcommittee on Securities, Insurance and Investment, United States Senate
Firms could be vulnerable to a newly discovered social engineering scheme in which bad actors trick customer support personnel into downloading and executing malware. This Alert describes the scheme and provides recommendations to help firms protect themselves from the threat.
It's especially important regulators hear from you in your own words. Please use the body of this email to customize your response.
As a follow-up to my first letter of comments objecting to FINRA's proceeding further with any future added regulations on/to U.S. financial investment instruments such as those utilized(provided) by UltraPro, UltraPro Short, or Ultra Short Pro
