FINRA Foundation Releases State-by-State Financial Knowledge Findings
Findings are Part of the National Financial Capability Study to be Published in July
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today preliminary findings from the National Financial Capability Study, which will be published in July. The FINRA Foundation is previewing the data this month—National Financial Capability Month—to provide insight into the overall financial knowledge of adults in the U.S. and per state.
22-00037(4).pdf
motion to vacate
SR-FINRA-2025-002
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6152 (Disclosure of Order Execution Information for NMS Stocks) to require members to submit their order execution reports for NMS stocks to FINRA for publication on the FINRA website.
2021069142301 Revere Securities LLC CRD 14178 AWC lp (2025-1746231596310).pdf
Between April 2013 and February 2023, Revere mismarked approximately 19,000 order
tickets as unsolicited when, in fact, nearly all the transactions were solicited.
Accordingly, Revere maintained inaccurate books and records in violation of Section
17(a) of the Securities Exchange Act of 1934, Rule 17a-3 thereunder, and FINRA Rules
4511 and 2010. As a result, Revere is censured and fined $125,000.
2024083571501 Nana Kwame Kwakye-Bissah CRD 7044974 Complaint gg (2025-1746231596410).pdf
The Department of Enforcement alleges:
SUMMARY
1. In October and November 2024, Respondent Nana Kwame Kwakye-Bissah failed
to respond to requests for documents and information that FINRA made pursuant to FINRA Rule
8210 as part of FINRA’s investigation into whether Kwakye-Bissah falsified documents and
converted customer funds. As a result, Kwakye-Bissah violated FINRA Rules 8210 and 2010.