Top Tweets for #FINRAUnscripted
The $25,000 day trading threshold was a fixture of U.S. markets for more than two decades. Earlier this year, FINRA eliminated it entirely. On the latest episode of #FINRAUnscripted, Racquel Russell and James Barry break down the story behind FINRA's new intraday margin standard under Rule 4210: why the old rules existed, what made them obsolete, and what the change means for investors and member firms.
π§ Listen here: https://t.co/FY0hP34feL
On the latest #FINRAUnscripted we hear from Sr. Director of @FINRA's Financial Intelligence Unit (FIU), Blake Snyder. Discover how the group has evolved in the way information is shared with the introduction of the new Threat Intelligence Products.
π§ https://t.co/Vfx9jnj6zr
Join Ira Gluck and Melissa Turitz on #FINRAUnscripted as they delve into the finfluencer target review. Discover potential risks, learn about regulatory requirements, and explore best practices for firms considering social media influencer programs. π§ https://t.co/XoEth2P92P
In the latest #FINRAUnscripted episode, we discuss @FINRA's margin rule, Rule 4210, and its purpose with members from our Office of Financial and Operational Risk Policy and Member Supervisionβs Risk Monitoring team.
Listen here π§ https://t.co/V3AYHfztRF
Tune in to the latest #FINRAUnscripted to hear from members of our High Risk Representative unit. Discover how they identify and monitor individuals who pose an elevated risk of misconduct to protect investors and maintain the integrity of the market. π§ https://t.co/Ovduq2U5dH
In the latest #FINRAUnscripted we hear from @FINRA's SVP of the Market Abuse Unit, Sam Draddy, and VP of the Insider Trading Detection Program, Karen Braine, to discuss the role FINRA's Insider Trading Detection Program has in ensuring market integrity. π§ https://t.co/m0lEGFpRzq
Tune into the latest #FINRAUnscripted episode where we explore the critical work of our Vulnerable Adults and Seniors Team. Discover how we collaborate to protect and assist senior and other vulnerable investors from financial exploitation. Listen now π§ https://t.co/IuIZFt3qwl
On the latest #FINRAUnscripted episode, we delve into the upcoming shift in U.S. marketsβthe move to a one-day settlement cycle, known as T+1.
Listen in as our @FINRA team shares insights for market participants prepping for this transition. π§ https://t.co/TaMTwWaUjY
On the latest #FINRAUnscripted episode, we catch up with @FINRA's Complex Investigations and Intelligence Team for an update on the cyber threat landscape and what firms should be thinking about and doing in response to the latest trends.
Listen here π§ https://t.co/FghhZ0wMql
On the latest episode of #FINRAUnscripted, we hear from senior leaders of @FINRA's Market Regulation and Transparency Services team on how the team's new structure enhances risk management to better leverage its data and more.
Listen here π§ https://t.co/qFPsTJadKu
@FINRA I'd like the next episode of #FINRAUnscripted to address this video. You can pretend you're here for investors, but we see right through you. Without an explanation, you're complicit- why bother tweeting anymore?
https://t.co/ORpb01dJ1s
On the latest #FINRAUnscripted episode, we hear from 3 experts at FINRA who are closely looking at Generative AI and large language models, and how they offer potential benefits to firms, regulators, and investors, albeit accompanied by unique risks. π§ https://t.co/sJOUklN77X
On the latest episode of #FINRAUnscripted, we meet Bill St. Louis, FINRA's new EVP and Head of Enforcement, to learn more about the man at the helm and what's on the horizon for Enforcement in the new year.
Listen here π§ https://t.co/B8Ro7Hqpxz
In 2022, we launched a targeted exam to review certain member firms that actively communicate with retail customers regarding crypto assets and services. Listen to the latest #FINRAUnscripted to hear the results of our crypto asset communications sweep. π§ https://t.co/LA7sgqFAXj
@FINRA, your recent #FINRAUnscripted episode highlights the strengths of the self-regulatory model, yet the ongoing #MMTLP saga tells a different story π€¨
Tens of thousands of retail investors have been left in limbo, with their complaints to both the SEC and FINRA met with obstruction and evasion π
ββοΈπ
ββοΈ
The SEC deflects responsibility, labeling it a FINRA issue, while FINRA conveniently claims immunity from lawsuits, leaving frustrated shareholders without recourse π€·ββοΈπ€·ββοΈ
This pattern of passing the buck and sheltering behind the shield of immunity raises serious questions about the effectiveness and fairness of the self-regulatory model π
It's time for Congress to reevaluate this system.
@HouseDemocrats @HouseGOP @SenateGOP @SenateDems
The responsibility for ensuring market integrity and investor protection should not rest on an organization that can sidestep accountability.
We need a more direct, accountable approach, with these responsibilities absorbed directly by the SEC.
The MMTLP case is a glaring example of the failures inherent in the current system and underscores the urgent need for reform πβοΈ
#stockmarket #finra #thesec #SRO #investors #retailinvestors #MMTLPFiasco
ποΈ In the first #FINRAUnscripted episode of 2024, we hear from four of our Member Supervision department leaders on the role of FINRA's Annual Regulatory Oversight Report in sharing information while upholding investor protection and market integrity. π§ https://t.co/XeRWwY8t1P
@FINRA #FINRAUnscripted should include @FINRAβs corruption and collusion with criminal market makers on why these firms should plan for the "expected consequences" of the infinite risks of naked short selling of $MMTLP and closing the short positions rather than screwing 65k investors.
On an encore episode of #FINRAUnscripted, FINRAβs Special Assistant to the CEO Jeanette Wingler & Sr. Principal Analyst Elena Schlickenmaier, discuss succession planning and why firms should plan for the expected and unexpected in life.
Listen here π§ https://t.co/Rl7dpyQmbZ
On the latest #FINRAUnscripted episode, we share a behind-the-scenes fireside chat between @FINRA's CEO Robert Cook and Head of Member Relations Kayte Toczylowski. Tune in to this insightful discussion from this year's Small Firm Conference. π§ https://t.co/sCmJvXi44n
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