21 min listen
Excessive Trading: When A Lot Becomes Too Much
FromFINRA Unscripted
ratings:
Length:
16 minutes
Released:
Sep 29, 2020
Format:
Podcast episode
Description
For some investors, a high-volume trading strategy could be something they seek. For others, it might be a sign of "excessive trading.” But when does a lot become too much? What is a firm’s responsibility when it comes to supervising for this behavior? On this episode, Chris Kelly, deputy head of FINRA Enforcement and head of Main Enforcement and Sales Practice Enforcement joins us to talk about excessive trading or churning. He shares why this practice remains in focus for FINRA Enforcement and some recent trends. Resources mentioned in this episode:Monthly Disciplinary ActionsBlog: Red Flags to Detect Excessive TradingInvestor Insights: 3 Ways to Guard Against Excessive Trading
Released:
Sep 29, 2020
Format:
Podcast episode
Titles in the series (100)
ERI: Introducing FINRA’s Weatherman: FINRA can’t predict the future, but like a weatherman, it can make predictions based on circumstances that exist today. FINRA’s Office of Emerging Regulatory Issues (ERI) looks to predict what storms may be brewing in the securities market and what areas they are likely to impact. by FINRA Unscripted