Summary
FINRA reminds firms to evaluate their exposure to LIBOR (formerly, the London Interbank Offered Rate), and review their preparedness to manage LIBOR’s phase-out. To understand how firms are preparing for that phase-out, FINRA surveyed a representative cross-section of member firms, including some firms with significant trading volume or positions in LIBOR-linked securities. This Notice
Observations on Cybersecurity
Business Continuity Plans
Fixed Income Mark-up Disclosure
This is over regulation plan and simple. There is a limit on which the government can protect people especially when it comes to investing. Every investor/ trader has lost and made money and has learned from every trade. Your this is not for thee it is only for we attitude is not protection it is exclusion.
Sec. 4.1 The property, business, and affairs of FINRA Regulation shall be managed by or under the direction of the Board. The Board may exercise all such powers of FINRA Regulation and have the authority to perform all such lawful acts as are permitted by law, the Restated Certificate of Incorporation, these By-Laws, or the Delegation Plan to assist FINRA in fulfilling its self-regulatory
The Liquidity Risk Management section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
(a) Pursuant to Section II of the Plan of Allocation and Delegation of Functions by FINRA to FINRA Regulation, Inc. ("Delegation Plan"), the Board shall appoint a National Arbitration and Mediation Committee ("NAMC").
(1) The NAMC shall consist of no fewer than ten and no more than 25 members. At least 50 percent of the NAMC shall be Non-Industry members.
(2) The
I should be able to choose investments that are right for me and my family.
Public investments should be available to all of the public,
not just the privileged.
It
I am capable if making my own decisions about my investments. Please do not limit my ability yo plan for my future
Regulatory Obligations and Related Considerations
Regulatory Obligations
Effective liquidity controls are critical elements in a broker-dealer’s risk management framework. Exchange Act Rule 17a-3(a)(23) requires firms that meet the thresholds specified under the rule to make and keep current records documenting the credit, market, and liquidity risk management controls established and
As previously announced beginning Monday, September 9, 2024, FINRA will introduce a new protocol to the TRACE Corporate and Agency Data feeds.
Please do not restrict my ability to invest into leveraged funds. I have had very good results by investing into these funds in the past and have incorporated them into my overall investment strategy. Restricting my ability to invest in these funds will hamper my ability to strengthen my retirement plan.
