With the holiday season upon us and 2023 coming to an end, FINRA’s Cyber and Analytics Unit (CAU) would like to remind member firms to prepare for cyber threats and attacks that may occur around the holidays. Member firms and their vendors should consider reviewing and validating their Written Supervisory Procedures (WSPs), continuing to educate their employees with respect to cybersecurity and effective practices, and testing incident response plans (IRPs) to prepare for, prevent, or recover from an incident.
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
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
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOptionsSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved changes to Part II of Schedule D to the NASD By-Laws requiring NASDAQ companies to notify the NASD of material news
SUGGESTED ROUTING:*
Legal & ComplianceOperationsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") recently issued Release No. 34-29094 adopting amendments to Rule 15c2-11 ("the Rule") that became effective June 1, 1991. This is an
Answers to frequently asked questions regarding FINRA Rule 3310 and AML program requirements.
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.
The Liquidity Risk Management topic of the 2025 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, (2) findings and effective practices, and (3) additional resources.
I think it's only fair that short positions are reported on the daily. We live in the information age and I don't see any reason for information to be delayed. This would make it fair for all players in the market. Thank you
Beginning September 16, 2019, FINRA will introduce a new Vendor Management System that will allow TRACE Vendors to view their profile and agreement information, maintain their contacts and report their monthly TRACE usage.
All vendors will be required to submit their Vendor and/or Subscriber Usage information via the new Vendor Management System. Starting on October 1, 2019, FINRA will no longer
