My career was in governmental regulation of utilities. I am keenly aware of the need of regulation in various markets. In this instance, however, I am opposed for the placement of conditions to invest in what is described as "complex products". As an investor, I should be able to engage in this market without having to meet conditions stipulated by a regulatory body. That is
Continuing Education Planning
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.
To whom it may Concern,
I am strongly opposed to restricting which public investments I am allowed to invest in. Being able to invest in inverse funds allows me to hedge against a decreasing market. My 401k platforms do not offer inverse investing opportunities nor do the representatives/specialists want to take or move investments when the market is moving negatively. They say don't
Summary
FINRA seeks comment on proposed amendments to the NASD Rule 1010 Series (Membership Proceedings) (collectively, the Membership Application Program (MAP) rules). The proposal is the result of FINRA's retrospective review of the MAP rules and processes, and is intended to reduce unnecessary burdens on new and existing firms, while strengthening investor protections. The proposed
Suitability for Retail Customers
Fixed Income Mark-up Disclosure
Reasonable Diligence for Private Placements
Abuse of Authority
As Senior Vice President – Strategic Regulatory Engagement, Alex Ellenberg is responsible for providing guidance, counsel and analysis to the leadership team and various Market Regulation and Transparency Services (MRTS) groups regarding a wide variety of strategic, operational, regulatory, risk and compliance functions and activities. He also supports and provides strategic risk analysis to the
FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
As part of FINRA’s Member Supervision Transformation, each firm was assigned a Single Point of Accountability – a senior leader in Member Supervision that helps firms navigate their experience with FINRA. On this episode, we are joined by two SPOAs to learn more about their roles and priorities.
GUIDANCE
Equity-Indexed Annuities
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Executive Representatives
Insurance
Variable Contracts
Equity-Indexed AnnuitiesRule 3030 (Outside Business Activities
of an Associated Person)Rule 3040 (Private Securities Transactions of an