Notice of SFAB Election and Ballots
SummaryArtificial intelligence (AI), including large language models (LLMs) and other generative AI (Gen AI) tools, present promising opportunities for member firms to enhance their products and services for investors and achieve operational and compliance efficiencies. As member firms incorporate the use of Gen AI or similar tools into their businesses, they should be mindful of the potential
FINRA Requests Comment on a New Academic TRACE Data Product
1. What is the single most neglected area in the field of investor education? How might this area be developed? Bar none, the most neglected area is financial planning -- investing being just one of five primary focus areas. Investment, tax, estate, insurance and retirement planning all need to be discussed and aligned with one’s life/financial goals. It can be developed by changing our mindset/
SEC Approval of FINRA Funding Portal Rules and Related Forms
SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds
I not a regulator should be able to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged. Wall Street financial advisors are a joke. Anyone can lie the way they do to their clients. I should have access to the same financial products they do. I can decide my financial future better than anyone. Precluding the
Comments:
While optics are ever present around good consumer advocacy policy, creating regulatory burden is not a good way to go about this.
In the strong capitalistic financial environment that the US exists in, retail investors should have the ability to put their money in Leveraged-Inverse ETFs if they so choose as long as they are aware of the long-term risks of holding such financial
INFORMATIONAL
Bulk Transfer of Customer Accounts
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Customer Accounts
Rule 2110
Executive Summary
In October 2000, the staff of NASD issued an interpretive letter concerning the use of "negative response letters" to transfer certain customer accounts to a new broker/dealer.
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the District 2 seats on the West Region Committee are the only contested seats. Therefore, only firms that are members of FINRA in District 2 as of the close of business on Monday,
