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Protecting investors means protecting their data, too. Our Small Firm Cybersecurity Checklist supports small firms in establishing a cybersecurity program to:Identify and assess cybersecurity threats;Protect assets from cyber intrusions;Detect when their systems and assets have been compromised;Plan for the response when a compromise occurs; andImplement a plan to recover lost, stolen or
On Thursday, March 18th, FINRA will conduct the first of its planned updates related to OATS retirement. During the call, FINRA staff will provide an update to the industry related to the OATS retirement efforts, including an overview of the related rule filing, status on the required accuracy and reliability standards that must be met before OATS can be retired, and a look ahead at next steps
Market Regulation Compliance Report Cards
On September 24, 1998, staff of the Market Regulation Department (Market Regulation) of NASD Regulation began making available quantitative reports for each NASD member firm concerning its compliance with trade reporting, firm quote, and best execution. The reports are being provided to firms as a compliance aid to assist them in ensuring that they are
FINRA is conducting an assessment of firms’ approaches to managing cyber-security threats. FINRA is conducting this assessment in light of the critical role information technology (IT) plays in the securities industry, the increasing threat to firms’ IT systems from a variety of sources, and the potential harm to investors, firms, and the financial system as a whole that these threats pose.
The Consolidated Audit Trail (CAT) section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (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.
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Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved a new Part XII to Schedule C of the NASD By-Laws prescribing requirements for the continuing
I lodge my comment on FINRA Regulatory Notice #22-08 opposing the proposed action by FINRA. Investors have legitimate risk management reasons for investing in leveraged and inverse funds as part of their retirement or other plans. Personally, I use these funds to mitigate the risk in my bond portfolios to interest rate increases that negatively impact these fixed income valuations. I understand
Here are my opinion:
1) Hurts Investors: It could potentially deny me the freedom to choose investments that could
help me achieve long-term financial security.
2) Is Arbitrary and Unworkable: FINRAs definition of complex products is so broad, arbitrary and vague that it could ensnare a vast number of commonly used public securities. Tests or criteria to determine investor understanding are
Cryptocurrency does not need to be stifled by government regulations while it's in it's infancy. It needs time and space to grow into what it can be. We all know that big banks influence Government with donations and they're stranglehold on the world is threatened by this new tech on the people's hands, which they absolutely do not want as it threatens their power and control
I have read that you are considering a new rule to impose substantial restrictions on investors being able to invest in certain types of investments which are considered "complex products," such as inverse and leveraged funds--and I'm opposed to such a proposal. Such funds offer opportunities to investors, especially small investors who are not wealthy, to survive turbulent markets