WASHINGTON— FINRA and NFA recently held a special summit focused on crypto assets and agreed to expand their Memorandum of Understanding (MOU) to address crypto activities that fall within their respective regulatory mandates.
Institutional investors are professional investors who pool together capital—sometimes referred to as Wall Street’s “smart money”—and invest on behalf of others, typically at much higher volumes than retail investors. learn more about institutional investors and how they can and cannot impact your investments.
Gen Z investors are a growing force of digitally savvy stakeholders who are making their entrance into the financial markets. They are attracted to investing by the wide dissemination of financial information on social media and other online platforms; the increasing ability to invest with small amounts, often on investing apps designed for their generation; the prevalence and popularity of cryptocurrency; the fear of missing out (FOMO) on a key opportunity to make money; and the substantial influence and assistance from their parents and other family members.
Whether you need to report a gain or can claim a loss after you sell an investment depends on its cost basis. Learn the basics about how to calculate an investment’s cost basis, understand the tax consequences, and what to report to the IRS.
I am pleased to be able to participate in these important public hearings on micro-cap stock fraud. As head of NASD Regulation’s Enforcement Department, my staff and I have had numerous opportunities to work with Andrew Kandel and the fine staff of the New York Attorney General’s Bureau of Investor Protection & Securities.
Module 1: Stocks and Stock Options is intended primarily for futures professionals as an introduction to securities and securities law concepts. FINRA will not require broker/dealers to administer the content of Module 1 to securities registrants. Firms should decide on their own whether their employees would benefit from the basic securities overview.
You might know if the stock market is going up or down, but do you know what sectors are driving returns? The use of sectors is one of the most common ways to characterize markets, and the most used system is the Global Industry Classification System (GICS).
As part of FINRA’s mission to protect investors and promote market integrity, we are focused on addressing the regulatory challenges presented by our member firms’ crypto asset activities. Crypto assets—also known as digital assets—are assets that are issued or transferred using distributed ledger or blockchain technology. They include, but are not limited to, so-called virtual currencies, coins, and tokens. A particular crypto asset may or may not meet the definition of a “security” under the federal securities laws.
The multi-week period following the end of each quarter when most public companies release their earnings reports is known as earnings season. Wall Street analysts, financial media and investors often eagerly anticipate reports from many major firms during earnings season and monitor how they might impact individual stocks and economy-wide narratives.
Boston Stock Exchange (BSE) specialists effecting transactions in NYSE securities through ECNs, or Nasdaq securities through the UTP Plan, from terminals located on the floor of the BSE, are effecting transactions on the floor of the BSE for purposes of NASD Rules 1032(f) and 1060.<br/>
