SummaryFor the past several years, FINRA has encouraged firms to keep their risk monitoring analyst informed if the firm, or its associated persons or affiliates, engaged, or intended to engage, in activities related to digital assets, including digital assets that are non-securities.1 FINRA appreciates members’ cooperation with this request and is encouraging firms to continue to keep their risk
As an individual investor, there are several ways in which you can hold securities, including through direct registration. Direct registration allows you to have your securities registered in your name—rather than in the name of a brokerage firm—without the need for a physical certificate.
Direct Participation Programs Representatives are eligible to sell shares of a non-listed business development company that qualifies as a regulated investment company under the Internal Revenue Code at the time of sale.
Funding and Liquidity Risk Management Practices
Filing your income taxes can be confusing enough, but special tax rules, exclusions, extensions and deployment can make tax season even more difficult for military members and their families. Fortunately, free tax assistance is available both online and on your installation.
SummaryFINRA is providing advance notice of future updates to its equity trade reporting guidance in connection with upcoming enhancements to the FINRA equity trade reporting facilities to support reporting of fractional share quantities. Under the updated guidance, members engaged in fractional share trading will be required to report fractional share quantities up to six digits after the
Summary
The Securities and Exchange Commission (SEC) approved a rule change to amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) to modify the rules to enhance regulatory consistency and address unintended operational impediments.1 These changes become effective on January 1, 2020.
The
Hi there, I have been using leveraged ETFs for around 2 years. They are very useful products for investors. Under the guise of protecting people from themselves you are planning to limit access (shocking they will still be available for the very rich) when retail investors like myself have been using them for years without any problems. Having more investment products available is always a good
I understand that in your efforts to protect investors from themselves you are planning to impose yet more suffocating rules and regulations. Please don't. Over regulation is running rampant and is already doing serious damage to our freedoms and productivity. Thanks for thinking of us, but please refrain.
I am one of millions who appreciate having timely and relatively unfettered
I would urge you not to place any new restrictions on leveraged ETF products. I am a retail investor and am interested in investing in these products for a small part of my portfolio as part of a high risk / high reward investment. Leveraged strategies have been used by large institutional and high net worth investors for some time and leveraged ETFs democratize access to them. It isn't
