Watch the video report featuring highlights from the September 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.
WASHINGTON – Today marks the start of World Investor Week 2018, as FINRA and the FINRA Investor Education Foundation (FINRA Foundation) join securities regulators and investor advocates around the globe to raise awareness about the importance of investor education and protection in recognition of the weeklong global campaign.
As part of the international effort, FINRA and the FINRA Foundation,
WASHINGTON – FINRA announced today that it plans to consolidate its Examination and Risk Monitoring Programs, integrating three separate programs into a single, unified program to drive more effective oversight and greater consistency, eliminate duplication and create a single point of accountability for the examination of firms. The effort is a result of FINRA360, the organization’s ongoing
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a Per-Arbitrator Fee and Honorarium for Late Cancellation of Prehearing Conferences
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the second quarter of 2018.
Proposed Rule Change Relating to Test Results Information on the Content Outlines of FINRA Qualification Examinations
View an index of archived OATS Reports in the page.
Volatility—market swings—can sometimes bring an uncomfortable surprise to investors: a margin call. When you buy stock on margin, your brokerage firm lends you cash, using assets in your account as collateral, to purchase securities. To trade on margin, you must have a margin account with your brokerage firm.
