Information for CandidatesEligibilityCandidate Information in FINDInformation UseAutomatically Opted OutFees for CandidatesContactsInformation for Broker-Dealer FirmsInformation for Candidates^ Back to topEligibility1. Am I automatically signed up for FIND?No, you must actively opt in to FIND.2. I did not opt in to FIND when I enrolled for the exam. Can I still opt in?Yes, you may still opt in
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
The purpose of this Election Notice is to notify firms of the elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
A member firm may include related performance information in institutional communications concerning Section 3(c)(1) Funds, subject to the stated conditions discussed in the letter.
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.
The following FAQ address general Entitlement questions. For detailed information, refer to the website specific to each user group...
Stocks should not be exchanged in unregulated, unmonitored dark pools. Furthermore, dark pool information should be easily accessible and have personally identifiable information tied to it in an effort to track the source of the share.
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.
Summary
FINRA has adopted amendments to its Codes of Arbitration Procedure (Codes) to modify the process relating to requests to expunge customer dispute information in the FINRA Dispute Resolution Services (DRS) arbitration forum. The amendments impose requirements on expungement requests (a) filed by an associated person during an investment-related, customer-initiated arbitration (customer
I would like to get more frequent information on short % and and not delayed information from days past. This is ridiculous that we have to be requesting this when it should be the norm. Thank you for your consideration.
