As Senior Vice President of Advanced Analytics, Brad Ahrens oversees FINRA’s analytics strategy and implementations—including machine learning, artificial intelligence and data visualization—to further enable investor protection and safeguard the financial markets. He also chairs FINRA’s Advanced Analytics Leadership Team, which is charged with identifying and deploying analytics opportunities
Regulation is a fundamental pillar of the financial services industry, ensuring investor protection and market integrity. As financial services firms seek to comply with regulatory requirements, they are turning to new and innovative regulatory technology (RegTech) tools to assist them in effectively and efficiently meeting their obligations. While RegTech tools may help strengthen firms’
As a United States citizen with sound mind to make my own decisions on public investments that are right for me, I oppose the Financial Industry Regulatory Authority putting restrictions on what public investments I should be able to invest in. Public investments should be available to all of us and not just the privileged. I should not have to go through any special restrictions or approvals to
My broker currently has requirements that limit my trading of stock based upon a criteria that includes net worth and trading experience. I believe that these requirements allow me to conservatively trade within the construct of responsible investing. These brokerage requirements far surpass the requirements necessary for real estate purchasing or other commercial investment that I have engaged
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend, to January 26, 2022, the implementation date of the amendments to FINRA Rule 4210 (Margin Requirements) pursuant to SR-FINRA-2015-036, other than the amendments pursuant to SR-FINRA-2015-036 that were implemented on December 15,
Supplementary Material .15 is effective from Apr 24, 2014 through Dec. 1 2015.
(a) Supervisory System
Each member shall establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. Final responsibility for proper supervision shall rest with
Dear Sir or Madam: One aspect that I love about the financial markets in this country is the FREEDOM we have to invest in a wide variety of investment options, such as leveraged funds. I am grateful that we live in a country that believes investors are intelligent enough to ascertain the risks and rewards of such investment vehicles. BUT WAIT! So regulators are considering limiting access to such
I have been using leveraged EFT's for many years and that is a major source of my yearly income. I'm well aware of the risks and I'm willing to take those risks. I've educated myself over the years in most aspects of the stock markets and use options extensively. Most financial advisors know little about using these investment techniques and are afraid to
I was unaware until recently that you [REDACTED] might be hatching another scheme to interfere with my ability to hedge risk and/or speculate in the financial markets. Even to the regulatory mind it should be obvious that investors either find these products useful or they avoid them, a principle that applies to all the ETFs and ETNs in the marketplace. Your franchise doesn't empower you to
Leveraged funds are important for young small time investors like myself to be able to have access to similar financial vehicles that large investors and institutions are able to use. I use the LETF's to be able to construct a balanced 60/40 portfolio that provides a higher risk-adjusted return than a stand alone index fund would be able to. Imo, there are many stocks that bare much
