Nearly 60 E-Learning Classes Now Eligible for CE Credits Following CFP® Board Review
WASHINGTON — The Financial Industry Regulatory Authority (FINRA), in conjunction with the Certified Financial Planner Board of Standards, Inc. (CFP Board), announced today that the CFP Board has authorized continuing education credits (CE) for FINRA e-learning courses offered to all CERTIFIED FINANCIAL PLANNERTM professionals, including those who are registered representatives with FINRA member firms.
News Releases & Statements
WASHINGTON—The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its Special Meeting on May 19, 2017, to elect one Large-Firm Governor to the FINRA Board of Governors. Andrew S. Duff, Chairman and CEO of Piper Jaffray Companies, was elected as a Large-Firm Governor.
“FINRA will benefit from Andrew’s industry knowledge in advancing our mission of protecting investors and ensuring the integrity of our markets,” said FINRA Chairman John J. Brennan. “We look forward to working with him.”
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today requested comment on its rules governing outside business activities and private securities transactions as part of a new retrospective rule review. The review aligns with the ongoing FINRA360 initiative, a comprehensive review of the organization’s operations and programs.
Next Step in an Ongoing Program to Protect Investors
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Board of Governors approved the next step in FINRA's ongoing initiative to strengthen controls on brokers with a history of significant past misconduct and to ensure greater accountability for firms that choose to employ high-risk brokers.
WASHINGTON — Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) hold their National Compliance Outreach Program for Broker-Dealers on July 27.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued the following statement on the confirmation of Walter J. “Jay” Clayton III as Chairman of the Securities and Exchange Commission.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that FINRA’s Securities Helpline for Seniors® marked its second anniversary with $4.3 million in voluntary reimbursements to callers since its launch on April 20, 2015.
Additional Proposals Include Updates to Rules on Underwriting Arrangements and Desk Commentary
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today requested comment on its rules governing the participation of its member firms in capital raising, as part of a continuing effort to modernize its regulation of those activities while maintaining important protections for investors.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that the National Adjudicatory Council (NAC) revised the Sanction Guidelines to include a new principal consideration that contemplates coverage for financial exploitation of vulnerable individuals or individuals with diminished capacity. It also includes three new guidelines relating to systemic supervisory failures, borrowing and lending arrangements, and short interest reporting.
FINRA Foundation and First Nations Development Institute Publish In-Depth Analysis of Financial Capability of Native Americans
WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) and First Nations Development Institute (First Nations) today published the nation’s most comprehensive analysis of the financial capability of American Indian/Alaska Natives, including the financial behavior, attitudes and knowledge of Native peoples.