FINRA CEO Robert Cook, Board members and FINRA staff provide updates from the February/March 2019 FINRA Board of Governors meeting.
Board Approves Rule Proposals, Engages with Boca Raton-Area Firms
WASHINGTON – FINRA’s Board of Governors met on Feb. 28 and March 1 in Boca Raton, Florida, where it discussed the organization’s finances, reviewed several significant technology and other capital initiatives, and considered two rulemaking items (described below). The Board also met with staff from FINRA’s Boca Raton District
NASD, in conjunction with an industry working group, developed the outline provided below in response to Recommendation J of the Report of the Joint NASD/Industry Task Force on Breakpoints, which recommended that member firms provide enhanced training regarding mutual fund breakpoint discounts.
This outline is intended as a model of the critical topics that firms should address in training
Here are four tips to help you grow your nest egg for years to come.
Michael Morris’s research into and advocacy work around the financial security and capability of Americans with disabilities earned him the 2020 Ketchum Prize, the FINRA Foundation’s highest honor. On this episode, we talk to Morris, the founder of the National Disability Institute, about his research and advocacy work and the intersection of race and disability.
Washington, D.C. (November 7, 2007)—A new study of employer-sponsored retirement plans shows that employees are nearly unanimous in their support of being automatically enrolled in their companies' 401(k) plans.
The study was conducted by Harris Interactive® on behalf of Retirement Made Simpler (RMS), a coalition formed by AARP, the Financial Industry Regulatory Authority (FINRA), and the
WASHINGTON — The FINRA Investor Education Foundation issued five tips to help consumers both manage their day-to-day financial challenges and build a brighter financial future in 2014.
GUIDANCEMunicipal SecuritiesSUGGESTED ROUTINGKEY TOPICSCorporate FinanceExecutive RepresentativesLegal and ComplianceMunicipal SecuritiesOperationsRegistered RepresentativesSenior ManagementTechnologyTrading and Market MakingTrainingMSRB Rules G-12(f) and G-14Municipal SecuritiesOperationsSupervisionTrainingTransaction ReportingExecutive SummaryNASD is issuing this Notice to Members to remind
Volatile markets can inspire feelings of fear and anxiety among investors. When the stock market gets rocky, focusing on your overall financial picture, combined with sound planning, can pay dividends. These five steps can help steady your pulse during market spikes and elevate your financial security.
Women’s financial influence is growing, but they may not be making the most of their increased financial power. Investing can seem intimidating, but it doesn’t need to be. Here are five ways women can take charge of their financial futures.
