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Customers give registered representatives authority to act on their behalf when they provide authorization to engage in discretionary trading or permit registered representatives to act as trustees or co-trustees, hold Powers of Attorney or serve as executors or beneficiaries. FINRA reminds firms that these roles can expose investors to material risks—e.g., unsuitable or excessive
Hackathons aren’t new. But what about a Buildathon? On this episode, we learn about a unique collaboration between FINRA, the private sector and academia that challenged some of the best technology students to solve common problems faced by everyday investors.
Guidance regarding use of related performance information in sales material for private equity funds.
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting the new SEC rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure that were adopted on July 26, 2023. The SEC adopted final rules requiring disclosure of material cybersecurity incidents on Form 8-K and periodic disclosure of a registrant’s cybersecurity risk management, strategy and governance in annual reports.
I am an individual investor who has invested for several years in a variety of securities, mutual funds and ETF's, including leveraged and inverse funds. My brokerage firm already requires me to confirm that I have read various warnings about and understand the risks of these investment vehicles. I consider them a USEFUL and CONVENIENT investment tool in a whole toolbox of investment
Compliance Outreach Program for Municipal Advisors
I am a private citizen and individual investor concerned about limits on leveraged and inverse. These funds are an important tool for me as they present another method of limited exposure to leverage with less downside risk than many other leveraged strategies. They are an extremely important part of my strategy as they allow for amplification of strategies that take advantage of market momentum
I have just learned from my brokers communication that FINRA is seeking public comments on restricting investors from buying a broad range of public securities designated as "complex products". I am an investor to handle my retirement accounts. It is very important for me to use as many tools as possible to protect my investments including inverse funds instruments for and
Dear FINRA Regulators,
I am a new investor who has benefited greatly from the variety of exchange-traded funds on the public securities market. I have seen great gains through the use of leveraged, inverse leveraged, and volatility index tracked funds. Since I understand the inherent risks of trading these funds, I firmly believe that most investors with basic knowledge can learn and understand