Effective July 1, 2025, Prospective CAT Cost Recovery Fee 2025-1 will no longer be in effect for transactions in eligible securities executed by FINRA member CAT executing brokers, and Prospective CAT Cost Recovery Fee 2025-2 will be in effect.
Summary
FINRA is alerting firms to a recently identified vulnerability in Apache Log4J software, which is an open-source, Java-based logging utility widely used by enterprise applications and cloud services. The “Log4Shell” vulnerability presents risk for member firms because they may be using this software in internal applications, or the software may be embedded in third-party software
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Supervisory Personnel
Training
Executive Summary
On August 20, 1996, the Securities and Exchange Commission (SEC) approved amendments to the NASD® Conduct Rules (Conduct Rules) giving NASD Regulation, Inc. (NASD RegulationSM) expanded sales-practice authority over
Beginning Monday, July 24, 2023, FINRA will increase the bandwidth rate for the Trade Data Dissemination Service 2.1 (TDDS 2.1) vendor feed from 2,500 kilobits per second (Kbps) to 3,000 kilobits per second (Kbps). FINRA will offer testing for the new bandwidth rate and will announce details for the test as the date approaches.
TDDS 2.1 subscribers are encouraged to plan to ensure their systems
FINRA is conducting an assessment of firms’ approaches to managing cyber-security threats. FINRA is conducting this assessment in light of the critical role information technology (IT) plays in the securities industry, the increasing threat to firms’ IT systems from a variety of sources, and the potential harm to investors, firms, and the financial system as a whole that these threats pose.
I am a retail investor in my later 30's. I have only been contributing to my 401(k) for the last 4 years, and opened my Roth IRA in early 2020. I have not been investing very long, and plan to be working another 30 years before I'll have enough to retire on. I tell you this only because I want you to understand how totally and completely the last 18 months have shaken my confidence in
Look, most folks already have an investment advisor. I expect HER to know whatever regulations you folks are planning to add to the process of buying investment products. Furthermore, your idea for additional regulation sounds to me just like a LITERACY TEST FOR VOTERS. So here's the deal... I'll buy your "additional investing regulations" just as soon as we
I am fully aware of risks and benefits associated with leveraged ETFs. I have made a conscious decision investing in these funds which has helped me achieve my retirement goals sooner. I work for University of Southern California who has not been able to help me in retirement saving. I achieved in a short period of time what university's retirement fund specialists were planning in 20
Regulators should stay out of choosing what types of publicly traded investments are right for market participants.
Public investments should be available to all market participants, not those deemed "worthy" by regulators.
No one should have to take a test in order to trade a leveraged or inverse ETF.
Leveraged and inverse funds are important for portfolio strategy,
I want to voice my opposition to any restriction to my current ability to purchase leveraged and/or inverse funds as they are an important component of my investing strategy, especially in my wife's and my deferred compensation plans that limit investment purchases to mutual funds. As retirees, we use these funds help protect/hedge our investments by providing opportunities for enhanced
