Blue Sheet Data
Electronic Blue Sheet (EBS) data files, which contain both trading and account holder information, provide regulatory agencies with the ability to analyze a firm’s trading activity. Firms are expected to provide complete, accurate and timely Blue Sheet data in response to regulatory requests. Incomplete, inaccurate and untimely Blue Sheet data compromises regulators’ ability to
The Securities and Exchange Commission (SEC) recently issued an investor alert listing some of the risks associated with using credit cards to buy investments or to fund an investment account.
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Senior ManagementLegal & ComplianceMutual FundTraining
Executive Summary
The NASD reminds members of their obligations under the Rules of Fair Practice with respect to mutual fund sales practices. Members and their associated persons must ensure that their communications with customers (both oral and written) are accurate and complete regarding disclosure of material
FINRA Announces Results of SFAB, NAC and District Committee Elections
The purpose of this Notice is to advise FINRA member firms that FINRA is temporarily increasing the maintenance margin requirements for auction rate securities pursuant to NYSE Rule 431(f)(8)(A) and NASD Rule 2520(f)(8)(A).
In investment-related impersonation schemes, scammers misuse the name of real registered investment professionals or firms to create the appearance of legitimacy. Imposter scams can be difficult to spot unless you know what you’re looking for. Here are patterns to be aware of and tips to help spot the fakes.
2017 Year in Review. Topics include: BrokerCheck, Licensing Requirements, Outside Business Activities, Financial Reporting and FINRA Board and Committee Elections.
I choose investments based on my own research and situation. With a BS in Engineering and a MS in Science and Technology Management, I believe I am perfectly capable of making my own investment decisions without FINRA's help or interference. Arbitrary restrictions by FINRA is offensive to me - it's like you are trying to only let "well off - rich investors" buy
Whitepaper on Artificial Intelligence (AI) in the Securities Industry
Dear FINRA,
I heard that regulations are being considered by FINRA to make certain popular complex investments unavailable to by bought by general public, including leveraged and inverse funds.
Ive been using leveraged ETFs in particular for long time as investment and trading vehicles and Im very concerned that myself and other market participants will no longer be able to buy those ETFs. I