The Liquidity section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
If you’re not careful, holiday expenses—including non-gift items and entertainment costs—can add up quickly. Follow these four steps to set a thorough holiday budget and keep spending under control.
August 1999
Broker/Dealer Day Zero Preparation
Over the weekend of January 1 and 2, 2000, broker/dealers will begin assessing the need to invoke their written contingency or disaster recovery plans. These plans should reflect potential scenarios that could be encountered duringthis unique transition. Firms will implement contingency and disaster recovery plans to the degree necessary to ensure
Please do not regulate these Inverse funds! They are a vital part of my trading strategies! I understand the risks involved and I plan accordingly.
I strongly oppose your planned limitations on leveraged ETFs. I dont need regulators to tell me what is good for me.
The Consolidated Audit Trail (CAT) topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
I plan on investing in the present and future in leveraged and inverse funds. I oppose any legislation that restricts access to invest in these funds. Thank you
I have been investing almost 30 years using leverage and complex ETF. this new rule will impact my retirement plan.
Comments: please do not stop selling these financial instruments. There are an important part of my whole financial plan. Regards, Brian T. Baker
I dont agree with adding restrictions on public investments. I like having a variety of fund vehicles that allow me to tailor different parts of my family portfolio to best align with our plans. I am planning to use some of these vehicles to hedge retirement withdrawals, so we won't be hammered by reverse-dollar-cost-averaging. New restrictions will not prevent irresponsible individuals
