WASHINGTON – Many U.S. investors with “alarmingly low” levels of financial knowledge lack confidence in their ability to meet their financial goals, according to new research conducted by the FINRA Investor Education Foundation (FINRA Foundation) and the Global Financial Literacy Excellence Center (GFLEC) at the George Washington University School of Business.
“Investors are seeing a rapid
In many cases, an unforeseen emergency can derail your financial plans. However, there are steps you can take to soften the impact of an unexpected hit to your finances. Here are a few tips on how to prepare for and survive financial hardships.
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Subordination Agreements
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Appendix D to the Net Capital Rule
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is proposing a rule requiring National Association of Securities Dealers,
I was alarmed to hear regulations are being considered by FINRA, which would severely restrict my being able to buy leveraged or inverse funds to invest for my family! The wonderful thing about Inverse or Leveraged Funds is that I can capture the same returns with 1/3 less Capital outlay A typical real life example for me would be if I... When I Invest 10,000 into 3X Inverse/Leveraged ETF and it
Comments: Dear FINRA, I fully understand the composition and risks associated with complex leveraged funds. They are short term in nature and utilize complex derivatives, mostly swaps which may or may not be regulated by public markets. They are an excellent way of maximizing short-term returns when identifying a correct short-term trend in a particular market sector. After voicing concern many
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Robert W. CookPresident and Chief Executive OfficerRobert W. Cook is President and CEO of FINRA.From 2010 to 2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission. Under his direction, the Division's professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities
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Industry Governor (Large Firm Representative)President, Private Client Group, Raymond James Financial Governor Since 2023Committees: Nominating & Governance Committee, Regulatory Policy CommitteeProfessional ExperienceRaymond James Financial President – Private Client Group (2018 – present)President – Raymond James Financial Services (2012 – 2018) Senior Vice President – Private Client
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek