Fellows Provide Military Service Members and Their Families with Financial Counseling and Education Services While Earning Professional AFC® Credential
WASHINGTON — Starting today, the FINRA Investor Education Foundation Military Spouse Fellowship is accepting applications for its 2018 class of financial Fellows — a unique program designed to increase the financial capability of U.S. service members and their families.
News Releases & Statements
Con Artists Posing as FINRA CEO ‘Guarantee’ Fraudulent Investments
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert warning investors to beware of financial scams in which con artists are posing as regulators to make fraudulent investment pitches.
Foundation Unveils New Website for Mobile Optimization and Enhanced User Experience
WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) today announced the appointment of three new members to its Board of Directors:
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released a paper providing perspectives on customer recovery of judgments and awards in the financial services industry, with a particular focus on the arbitration forum operated by FINRA.
First Uniform, National Standards to Protect Senior Investors
WASHINGTON — Two FINRA rule changes took effect today addressing the financial exploitation of seniors and vulnerable adults, putting in place the first uniform, national standards to protect senior investors. Firms are now required to make reasonable efforts to obtain the name of and contact information for a trusted contact person for a customer’s account.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Wedbush Securities Inc. $1.5 million for violating the Securities and Exchange Commission’s (SEC) Customer Protection and Net Capital Rules, and for related supervisory and books and records failures.
Launches New Online Portal to Facilitate Engagement
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced a series of changes to its advisory committees – including the addition of two new committees focused on the specialized issues surrounding clearing firms and capital acquisition brokers – as part of a comprehensive effort to improve opportunities for firms to provide input on key issues.
New FINRA360 Initiative Provides Small Firms Additional Assistance
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today launched a Small Firm Helpline, the latest in a series of actions to enhance support for small firms that have been taken as part of the FINRA360 organizational improvement program.
Increases Transparency into Budget; Includes No Fee Rate Increases for Member Firms
WASHINGTON — The Financial Industry Regulatory Authority today published for the first time its
FINRA’s 2018 Financial Guiding Principles
for
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released its 2018 Regulatory and Examination Priorities Letter, highlighting topics that FINRA will focus on in the coming year, including new and ongoing areas of focus.