Get the [REDACTED] out of our private personal businessBIDEN/Obama get out NOW
The Cybersecurity section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
My accounts are mine and mine alone. The government should not be meddling in private affairs and accounts.
As a private investor I feel we should be allowed to invest in what ever we want to.
Government regulators should not be allowed to dictate how private citizens invest their own money.
Have you ever wondered who protects investors—and how? FINRA, the Financial Industry Regulatory Authority, is a not-for-profit organization authorized under the federal securities laws and registered with the Securities and Exchange Commission (SEC). Alongside the SEC, FINRA oversees U.S. member broker-dealers and their personnel, including individuals who recommend or sell securities products to the public. FINRA’s mission is protecting the investor and ensuring the integrity of our country’s securities markets.
GUIDANCESales Practice ObligationsSUGGESTED ROUTINGKEY TOPICSAdvertising/Investment CompaniesDebt SecuritiesExecutive RepresentativesLegal & ComplianceMutual FundsRegistered RepresentativesSenior ManagementTrainingDebt SecuritiesMunicipal SecuritiesMutual FundsSales Practice ObligationsExecutive SummaryAs the number of retail customers investing in bonds and bond funds grows, NASD is
INFORMATIONAL
Anti-Money Laundering
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Compliance Programs
Money Laundering
Executive Summary
On October 26, 2001, President Bush signed the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 (PATRIOT Act).1 Title III of
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Expand All | Collapse All0100. General Standards0110. Adoption of Rules0120. Effective Date0130. Interpretation0140. Applicability0150. Application of Rules to Exempted Securities Except Municipal Securities0151. Coordination with the MSRB0160. Definitions0170. Delegation, Authority and Access0180. Application of Rules to Security-Based Swaps0190. Effective Date of Revocation, Cancellation
The Books and Records section of the 2021 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.