category finra Trade Related Topics 
Burr Forman
FEBRUARY 2, 2021
On February 1, 2021, the Financial Industry Regulatory Authority (“FINRA”) released its “Report on FINRA’s Risk Monitoring and Examination Activities.” Social media platforms , including the “gamification” of trading. In past years, FINRA has addressed issues related to Supervision and Senior Investors separately.
Burr Forman
FEBRUARY 9, 2021
In that week when GME swung wildly from $76 to $347 per share, regulators issued several investor alerts warning about the risks of short-term trading in volatile assets. FINRA issued its Investor Alert cautioning against emotional trading not aligned with long-term financial means and goals, among others. 28, 2021), here.
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