Thank you very much, Mr. Secretary. It's an honor to be here today with you and Secretary Duncan.
(a) A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer's investment profile. A customer's investment profile includes,
(a) A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer's investment profile. A customer's investment profile includes,
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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 8, 2018
As is our practice, we are marking the start of the new year by publishing our
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 United States Department of Homeland Security (DHS) has issued a bulletin under the National Terrorism Advisory System summarizing the heightened risk of potential cyber and physical attacks by Iran against the United States.1 This Notice outlines steps firms may consider taking to be prepared and respond to any cyber attacks and other business disruptions that may occur.
Dear FINRA REGULATORS:
As a registered rep. for Hornblower & Weeks at 40 Wall, NYC, in 1960 and later at their uptown offices on Park Avenue at 50th, I became a devotee of Elliot Wave Theory and Edwards and Magee's Tech Stock studies. I had several times visited the packed, busy floor of the NY Stock Exchange on Broad Street, which today is virtually barren of human life.
I am writing to protest the planned FINRA regulatory notice #22-08 that would restrict my right to invest in leveraged and/or inverse ETF products. These types of investment products are not for everyone but they do serve an important role in hedging and investment strategies for experienced investors who understand and can managed the inherent risks. Furthermore, banning these investment
Retrospective Rule Review
Comment Period Expires: May 14, 2015
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Senior Management
Systems
Key Topics
Continuing Membership
Dear FINRA, I am very concerned to learn about possible upcoming restrictions regarding my ability, as an independent small investor, to use complex investments such as leveraged and inverse ETFs. I am scared that these public investments will cease to be available to normal people like me and reserved only for a "privileged elite" of super-rich people and institutions to get richer. I
