August 1999
Broker/Dealer Day Zero Preparation
Over the weekend of January 1 and 2, 2000, broker/dealers will begin assessing the need to invoke their written contingency or disaster recovery plans. These plans should reflect potential scenarios that could be encountered duringthis unique transition. Firms will implement contingency and disaster recovery plans to the degree necessary to ensure
INFORMATIONAL
Fixed Income Transaction Reporting And Dissemination
Effective Date: 180 Days After Publication Of TRACE Technical Specifications
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Operations
Senior Management
Technology
Trading
Increasingly, many investors have been choosing to put money where their values are—into a growing array of products that fall broadly into the category of environmental, social and governance investing, often called ESG investing for short. If you're thinking about investing in ESG products, here are some tips to keep in mind and traps to avoid.
I am a retail investor. I believe OTC options trades are a great systemic risk as they are not properly regulated. As FINRA is an SRO I believe it should be required that all OTC options chains be publicly disseminated in order for regulatory integrity and public trust to be maintained. In order to maintain competitiveness and not price smaller firms out of the market, FINRA should create a
Cryptocurrency funds such as BITO are important in diversifying our investments. I personally am fully aware of the risks involved with cryptocurrency investment and limit them just as I do any other investment. A balanced portfolio is a safe haven which can be skewed if others make choices in it for us. It is a fallacy to think that investors cannot research and understand an investment that has
Regarding FINRA's attempt to make it more difficult to invest in leveraged and inverse funds and strategies. I object to your attempt to limit my rights to invest in the investments I choose. I should be able to choose the public investments that are right for me. It is not FINRA's right to do so.
I do not believe that I should need to pass a test that FINRA designs to prove
I oppose restrictions to my right to invest in leveraged an inverse funds. I am aware of the potential risks and potential benefits and have spent a lot of time studying them already. I consider them an important part of my overall strategy and have been able to fine tune their use over the years. I do not go overboard with them and they are not a high percentage of the money I invest. I rarely
We launched FINRA360 in March 2017 with one overarching objective: to ensure that FINRA is operating as the most effective and efficient self-regulatory organization (SRO) we can be.
The time was right for us to begin such a review. In the 10 years since the NASD and NYSE Regulation merged to form FINRA, the industry and financial markets had changed significantly. And in traveling around
Survey Shows More Than Half of Respondents Use Financial Professionals, But Knowledge of Investment Concepts is Low and Generational Divides Exist
WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) announced today the results of its Investors in the United States 2016 report, which provides a detailed analysis of 2,000 survey respondents from across the United States who
Dear Sirs;
Im beside myself over the thought that regulators would want to prevent me or anyone from investing as I see fit for myself and my family. I should be able to invest as I see fit. Public investments should be freely available to all without restrictions and not only for the privileged.
No one should have to go through any special process, such as passing an exam before you can invest