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For many years I have been investing in leveraged and inverse funds for many years. Throughout this time I have never considered such funds to be "the way to easy money". I have been cognizant of the risks involved and have been properly informed by my broker (Fidelity Investments) regarding the special characteristics of leveraged and inverse investing. I have never received
FINRA's Risk Monitoring team is responsible for assessing financial, operational and business conduct risks that exist within individual member firms and across the industry. But they're also the day-to-day point of contact for firms for any questions they may have for FINRA. On this episode, we hear how they spot and track risks across similar firms.
The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs.
A high net worth individual with brokerage firm classification of some degree of sophistication should not have to fill in extra paperwork to indulge in a speculative investment.
I am not averse to getting information such as that given for options. It's information that should be in the hands of investors, but what is intrusive and unnecessary is regulatory approval.
CRDIndividual Name A5429958BARBARA JEAN ABADI5251101YOUSEF ABBASI1879052JOSEPH ABBONDANTE5239825JOANNA ABDELHADI307EMMETT MAURICE ABERCROMBIE1610607ANDREW MARTIN ABERN4162073JOSH RAY ABERNATHY2987570EUGENE GILBERT ABEYTA, JR4311057ANTHONY RICHARD ABNER2733649MAURICE WAYNE ABNEY3273075AMR MOSTAFA ABOULMAGD6140331CRYSTAL DAWN ABRAHAM4412506SEYMOUR ISAAC ABRAMOWITZ4661358LISA ACCA4936501SALVATORE
I oppose any regulation that restricts my right to invest in funds or ETFs of my choosing. In particular, any regulation that restricts the ability to purchase leveraged or inverse funds, provided the funds themselves are regulated by the SEC and full and complete information is available on them such that I'm able to make an informed decision.
I personally (not Bloomberg, LP nor any of its affiliates) believe that this is a good thing. Anyone that has searched for 605 reports needs to traverse a series of websites to find this information. In addition can you please have the broker/dealers add a header row, or at least an off file guide to reading the data. A crib sheet is also needed to understand how to look at this information -
In coordination with the SEC and the CFTC, we are conducting a review of the impact of Hurricane Sandy on firms’ operations and their ability to conduct business at a time when business continuity plans were enacted.
Board Re-Elects Chair, Re-Appoints Public Governors, and Approves Three Rulemaking Items
WASHINGTON—FINRA’s Board of Governors met on July 12-13 for the third time in 2023. During the meeting, the Board re-elected Eric Noll as Board Chair, re-appointed three public governors and approved three rulemaking items. The Board also continued its engagement with key stakeholders, hearing from
Rule Filing Status As Of July 7, 1999
NASD Rule Filing Status
The following is a list of rule filings by the National Association of Securities Dealers, Inc. (NASD® or Association) that are either pending at the Securities and Exchange Commission (SEC) or recently have been approved by the SEC and have not been announced in a Notice to Members. The information is current as of July 7,