Investors of Color are Entering the Market at a Faster Pace than White Investors and Tend to Be Much Younger, Report Shows
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.
Board Appoints Industry Governors, Discusses FINRA’s Long-Term Financial Planning and Hears Latest From Key Stakeholders
The Manipulative Trading topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Read CEO Robert Cook’s email to firms previewing topics the Board is scheduled to discuss at the July 2024 FINRA Board of Governors Meeting.
Last Updated: March 11, 2024Dispute Resolution Services (DRS) is publishing this guidance to remind parties and their representatives, arbitrators, and mediators that the unauthorized disclosure of a Suspicious Activity Report (SAR) is a violation of federal law that may be punishable by civil and criminal penalties. As described in greater detail below, three categories of “SAR Information”—SARs
Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) today announced the launch one of the most comprehensive, content-rich, free online information resources for retail investors - and the only one with a strong emphasis on fixed-income securities.
The new Market Data section of the regulator's web site, www.finra.org, includes detailed data on equities, options, mutual
The following are details of FINRA's policy for the retransmission of FDIC-Backed bonds available via the BTDS (corporate bond) data feed.
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.
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
In response to the request1 from the Securities and Exchange Commission (SEC) for a plan on the implementation of decimals trading, the National Association of
