Impact: All Firms
Firms without dedicated information security professionals may wish to review this information with any vendors who provide those services to the firm.
As FINRA continues to observe an increasing number of ransomware attacks impacting member firms, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting an Advisory issued by the
I would prefer to NOT have the proposed restrictions on investing in leveraged or inverse products. Also, the proposed steps to permit such purchases are too restrictive and add unnecessary burden to the process. Investors have access to all the information they need to make an informed decision, and they have the ability now to conduct additional research. Treat people like adults...
I believe that in this age of technology we live in, there is no reason the reports should not be daily. After all, do we not want a fair and transparent market. The sooner information can be attained, the sooner people can make informed decisions.
Social isolation, whether voluntary or involuntary, has long been a leading factor contributing to the financial exploitation of older investors. FINRA, NASAA, the SEC's Office of Investor Education and Advocacy, NFA and the CFTC’s Office of Customer Education and Outreach are continuing to raise awareness of the devastating impact social isolation can have on senior investors and offer tips that can help.
Retail investors deserve proper and timely disclosure of information, the amount of Information that is misreported is incredibly misleading. Please do something about this broken system, institute changes that bring positive outlook to the future of the stock market, for all participants.
FINRA staff will host this one-hour webinar to discuss the Remote Inspections Pilot Program data submission and documentation requirements. This session will review the upcoming deadlines and the data and information requirements and submission process.FINRA Webinar: Remote Inspections Pilot Program Data Submission and Documentation Requirements – On-Demand RecordingFINRA Member Firms CRCP
FINRA should provide daily updates on short interest and failure-to-delivers. If that isn't feasible, then at minimum a T+1 timeframe should be implemented. Rampant naked shorting along with a financial toolbox that favors large institutions goes against what a free market is all about. As a retail Investor, I do not have the same means or access to the types of information that larger
For May 11, 2021, transactions disseminated in Ginnie Mae issued mortgage-backed securities traded in specified pool transactions (MBS transactions) do not reflect reference data element updates published by Ginnie Mae as of the end of the day on May 10, 2021. Consequently, the dissemination ID (RDID) used for MBS transactions in Ginnie Mae securities will reflect security reference data
there is already more than enough information for individual investors to make informed decisions. we don't need more hurdles. most people understand the risks associated with most investments. if you don't know how to swim, don't get in the water. but, if you do and drown, there's no FINRA that can save you from your own stupidity.
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The free Retirement, Your Way: Tips for Smarter Investing dinner seminar originally scheduled for Thursday, August 17, in St. Louis has been postponed. We will update this page with more information on the new date and time when it becomes available. If you have specific questions about the event, email [email protected] FINRA: FINRA is a not-for-profit organization
