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The Senior Investor Protection Conference is a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior and vulnerable investors from exploitation, scams, and other questionable practices. This conference includes discussions of
Investments have many safeguards to prevent individuals from investing in products they don't understand. These range from a formal prospectus all the way to a (highly) informal google search (which will readily enumerate the risks involved in investing in leveraged ETFs. That information is easily accessible to anyone who might choose to invest in these products. As a result, regulating
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
I think some basic online information for informed consent and modest means should be sufficient for most investments. The current accredited investment limit severely restricts the ability to become an accredited investor. These limits should be much lower.
On March 20, 2020, the Securities and Exchange Commission (“Commission”) issued an order that, among other things, provided a temporary exemption until May 30, 2020, from the fingerprinting requirements of Securities Exchange Act Rule 17f-2 for FINRA members and transfer agents registered with the Commission (“March 20 Order”). On May 27, 2020, the Commission issued an order extending the
Impact: All Firms
Firms without dedicated information security professionals may wish to review this information with any vendors who provide those services to the firm.
As FINRA continues to observe an increasing number of ransomware attacks impacting member firms, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting an Advisory issued by the
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The free Retirement, Your Way: Tips for Smarter Investing dinner seminar originally scheduled for Thursday, August 17, in St. Louis has been postponed. We will update this page with more information on the new date and time when it becomes available. If you have specific questions about the event, email [email protected] FINRA: FINRA is a not-for-profit organization
I am a former series 7, 6, 63 from 1994 to 2001. Back then people knew risk, with all the information now the public is so much more well informed that regulation should be MINIMAL. Minimal meaning more of a mediator than a regulator.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD® Select Committee on Structure and Governance (Select Committee), also known as the Rudman Committee, has proposed significant changes to the manner in which the NASD operates. After substantial discussion, the NASD Board of Governors adopted the proposals in substantially the form recommended by the
Dear Sir, Please retain our ability to trade freely. Our actions are informed by massive amounts of information from diverse sources like Standberry Research, Motley Fools, Dividend Investors, etc. These are not gambled decisions. Thank you.