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Date:23 June 2017 | Author: Admin

Many account statements include an investment objective that characterizes your investment strategyfor example growth speculative or conservative. Make sure this description accurately describes your financial goals and that the activity in your account reflects these goals. Investors should review their statements carefullyand immediately call the firm that issued the statement or confirmation about any transaction or entry they do not understand or did not authorize and reconfirm any oral communication in writing with the firm. FINRA often reminds investors to review their brokerage account statements and trade confirmationswith good reason. FINRA Regulatory Notice Suitability Additional Guidance on FINRAs New Suitability RuleIn most cases brokerage firms are required to provide customers with quarterly account statements and written notification of trade confirmations at or before completion of a transaction

Brokerage account statements provide valuable information including your account number contact information for your financial professional and clearing firm and a summary of your holdings. Always check to see if there are inaccuracies or discrepancies in any of your statementsand if so contact your broker or firm as soon as possible. Make sure this description accurately describes your financial goals and that the activity in your account reflects these goals. Many account statements include an investment objective that characterizes your investment strategyfor example growth speculative or conservative. SEC Fast Answers BrokerDealers Why They Ask for Personal InformationDont Be Shy br br Dont hesitate to ask your broker to provide the details about markup markdowns or any fees or commissions associated with your investment. Did you ever wonder why investment professionals ask questions about your investment experience risk tolerance and more FINRAs suitability rule FINRA Rule is based on a fundamental FINRA requirement that brokerage firms and their associated persons sometimes referred to as brokers financial advisers or financial consultants deal fairly with their customers

Trade confirmations contain key trade details. If you feel that these costs are excessive you may file a complaint using FINRAs online Complaint Center. The accuracy of statements and trade confirmations is something securities regulators take very seriously. Not only do these documents help you stay on top of your investment holdings but they also provide valuable information that can alert you to errors or even misconduct by your broker or brokerage firm such as unauthorized trading or overcharging customers for handling transactions. Investors should review their statements carefullyand immediately call the firm that issued the statement or confirmation about any transaction or entry they do not understand or did not authorize and reconfirm any oral communication in writing with the firm. Your statement also generally includes the recent market value of your holdings or in the case of illiquid securities such as direct participation programs or public nontraded REITS an estimated value. FINRA Regulatory Notice Suitability Additional Guidance on FINRAs New Suitability RuleIn most cases brokerage firms are required to provide customers with quarterly account statements and written notification of trade confirmations at or before completion of a transaction. In equity transactions if the firm acts as agent that means the firm acts on your behalf to buy or sell a security. In bond transactions if the firm acts as agent it must disclose the amount of commission you were charged on the confirmationjust as with equity transactions. To help ensure that customers receive suitable investment advice firms and their associated persons are required to learn as much about a customers investment profile as possible before recommending a securities transaction or investment strategy. FINRAs suitability rule states that firms and their associated persons must have a reasonable basis to believe that a transaction or investment strategy involving securities that they recommend is suitable for the customer. Your confirmation will show the markup or markdown as both a dollar amount and a percentage of the prevailing market price of the security. In addition the following checklist can help you avoid problemsSEC Fast Answers SuitabilityConfirmations also inform you of whether your broker acted as an agent for you or another customer or whether the broker or brokerage firm acted as a principal for its own account. Below are some key elements of account statements why each element is important and red flags that can help you recognize or avert problems

The significance of specific types of customer information Dr phil my daughter is dating a sex offender will depend on the facts and circumstances of the particular case. . Be aware that the brokerage firm you opened an account with may not be the one that sends you your account statements dating with herpes blog and trade confirmations. These include the date and time of the transaction price at which you bought or sold a security and the quantity of shares bought or sold. Customers are not required to provide real social dynamics online dating this information therefore the suitability rule provides some flexibility when information is unavailable despite the fact that the firm or associated person asked for it. If you work with an introducing firm your statements most likely come from the clearing firm. SEC Fast Answers BrokerDealers Why They Ask for Personal InformationDont Be Shy br br Dont hesitate to ask your broker to provide the details about markup markdowns or any fees or commissions associated with your investment. Where the firm acts as principal and executes trades from its own account the price you pay or receive for the bond includes a markup or markdown which is the firms compensation for the transaction. To receive the latest Investor Alerts and other important investor information sign up for Investor News. FINRA Regulatory Notice Know Your Customer and Suitability SEC Approves Consolidated FINRA Rules Governing KnowYourCustomer and Suitability ObligationsIn this case when some customer information is unavailable despite a firms request for it the firm may narrow the range of recommendations it makes. Many account statements include an investment objective that characterizes your investment strategyfor example growth speculative or conservative

Not only do these documents help you stay on top of your investment holdings but they also provide valuable information that can alert you to errors or even misconduct best dating profile interests by your broker or brokerage firm such as unauthorized trading or overcharging customers for handling transactions. When a single keystroke can make the difference between and shares it is important to review this information carefullyand as soon as you receive a confirmation. FINRA often reminds investors to review their brokerage account statements and trade confirmationswith good reason. Of course the firm itself may require in order for customers to receive recommendations that customers provide certain types of information. Make sure this description accurately describes your financial goals and that the activity in your account reflects these goals. Keep in mind that your financial objectives may change over time and should be updated accordingly. The rule requires firms and associated persons to seek to obtain information about the customersIn general the markup or markdown you pay must be separately disclosed on the confirmation when a broker acts as principal in a retail age gap for dating customer trade in municipal corporate or agency bonds and the firm bought or sold that same security to a third party on the same trading day as your transaction

Customers are not required to provide this information therefore the suitability rule provides some flexibility when information is unavailable despite the fact that the firm or associated person asked for it. If you work with an introducing firm your statements most likely come from the clearing firm. Of course the firm itself may require in order for customers to receive recommendations that customers provide certain types of information. In this capacity the firm must disclose the amount of the commission you were charged on the confirmation. FINRA Regulatory Notice Know Your Customer and Suitability New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing KnowYourCustomer and Suitability ObligationsAs with account statements trade confirmations also include the clearing firm and its contact information which may be extremely helpful should you have trouble tracking down your investments or in the event your brokerage firm closes its doors

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To receive the latest Investor Alerts and other important investor information sign up for Investor News. To help ensure that customers receive suitable investment advice firms and their associated persons are required to learn as much about a customers investment profile as possible before recommending a securities transaction or investment strategy. The accuracy of statements and trade confirmations is something securities regulators take very seriously. FINRA is issuing this alert to guide investors through the key elements of their brokerage account statements and trade confirmations and to provide tips that can help avoid problems. Keep in mind that your financial objectives may change over time and should be updated accordingly. Always check to see if there are gumtree gay dating cape town inaccuracies or discrepancies in any of your statementsand if so contact your broker or how do you know when you're ready to start dating again firm as soon as possible. FINRAs suitability rule states that firms and their associated persons must have a reasonable basis to believe that Tf2 dating a transaction or investment strategy involving securities that they recommend is suitable for the customer. If you work with an introducing firm your statements most likely come from the clearing firm. Your statement also generally includes the recent market value of your holdings or in the case of illiquid securities such as direct participation programs or public nontraded REITS an estimated value. When a single keystroke can make the difference between and shares it is important to review this information carefullyand as soon as you receive a confirmation

FINRA Regulatory Notice Know Your Customer and Suitability SEC Approves Consolidated FINRA Rules Governing KnowYourCustomer and Suitability ObligationsIn Top 10 christian dating websites this case when some customer information is unavailable despite a firms request for it the firm may narrow the range of recommendations it makes. Make sure this description accurately describes lawrence ks dating sites your financial goals and that the activity in your account reflects these goals. Be aware that the brokerage firm you opened an account with may not be the one that sends you your account statements and trade confirmations. FINRA is issuing this alert to guide investors through the key elements of their brokerage account statements and trade confirmations and to provide tips that can help avoid problems. In bond transactions if the firm acts as agent it must disclose the amount of commission you were charged on the confirmationjust as with equity transactions