WASHINGTON - The Financial Industry Regulatory Authority (FINRA) has taken important actions to protect investors from fraudulent schemes, products and practices, and to bring new levels of transparency to financial markets.
INFORMATIONAL
Performance Fees
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Rule 2330
Performance Fee Arrangements
Investment Advisers
Executive Summary
On February
FINRA has seen a recent significant spike in investor complaints resulting from recommendations made by fraudulent “investment groups” promoted through social media channels. Complaints describe bad actors, posing as registered investment advisers, who advertise “stock investment groups” on Instagram and other social media channels and then turn to encrypted group chats on WhatsApp to communicate with interested investors and pitch investments.
I have been investing successfully in leveraged and inverse ETFs for several decades, including currently. I am a non-professional private investor. I believe there should be no regulations which limit my ability to trade these funds like any other ETF or security. I should be able to chose the investments that are most suitable for me and my family, and these should not be available to just
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting recent updates to the National Institute of Standards and Technology (NIST) Cybersecurity Framework (CSF) 2.0, which is a resource designed to help organizations manage and reduce cybersecurity risks, regardless of their degree of cybersecurity sophistication.
Exemption Reporting Under SEA Rule 15c3-3(k) - Frequently Asked Questions
While most Americans understand the importance of saving and investing, many do not possess the basic financial knowledge needed to make sound financial decisions, according to a recent study released by the FINRA Investor Education Foundation (FINRA Foundation).
INFORMATIONAL
Option Contracts
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Registered Representatives
Senior Management
Options
Options Self-Regulatory Council
Executive Summary
NASD Regulation is providing this Notice on behalf of the Options Self-Regulatory Council. This Notice advises broker/dealers to review or develop procedures as necessary
Supplementary Material .15 is effective from Apr 24, 2014 through Dec. 1 2015.
(a) Supervisory System
Each member shall establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. Final responsibility
FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online