The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent cybersecurity risks at third-party providers (commonly referred to as third-party vendors) impacting member firms.
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.
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.
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.
Investors should have the freedom to make informed decisions about their investment choices. There are those who of us who desire to use reasonable leverage without the burden of adopting complex and costly options hedging strategies. Leveraged ETFs accordingly provide significant value to us as ordinary retail investors. It is hard to imagine anyone who does even a modicum of due diligence (even
As an investor, it is my responsibility to understand, research and select investments, along with the ultimate risks & rewards. This is the same I would expect of anyone who is investing.
For leveraged funds, it is a critical part of my broad investment strategy, again knowing the full risks, up & down. All fund prospectus's provides clear picture of the
Last modified: October 16, 2023In accordance with the FINRA Codes of Arbitration Procedure (Codes), FINRA Dispute Resolution Services (DRS) is notifying state securities regulators of requests to expunge customer dispute information from the Central Registration Depository (CRD®) received by DRS within the past 15 days that are not deficient. See FINRA Rules 12800(f)(1), 12805(b), and 13805(b)(2
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Executive Summary
On December 3, 1998, the
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.
