Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in personal losses. Protection of senior investors is a top priority for the Financial Industry Regulatory Authority (FINRA) and is the focus of several rules intended to thwart financial exploitation.
Discussing money management and investing strategies might not seem romantic, but managing a relationship is hard enough without having to fight about money. If you’re thinking of marriage or a long-term partnership, it’s important to discuss financial goals, savings, investment strategies and risk tolerance levels.
FinPro is part of FINRA’s efforts to streamline communication between industry stakeholders and reduce the registration compliance burden for firms. As we develop this system, FINRA is also creating materials to help firms incorporate FinPro features into their registration compliance programs. Learn more on the page below about the onboarding, training and
Application for exemptive relief from trade reporting obligation for certain teransactions on an Alternative Trading System
Remarks From Baruch College’s Financial Markets Conference
As part of FINRA’s mission to protect investors and promote market integrity, we are focused on addressing the regulatory challenges presented by our member firms’ crypto asset activities. Crypto assets—also known as digital assets—are assets that are issued or transferred using distributed ledger or blockchain technology. They include, but are not limited to, so-called virtual currencies, coins, and tokens. A particular crypto asset may or may not meet the definition of a “security” under the federal securities laws.
April is Financial Literacy Month, making this a great time to think about actions you can take to boost financial capability. FINRA and the FINRA Investor Education Foundation offer many resources to support you and your loved ones along your financial journey.
January 2024BackgroundIn November 2022, FINRA launched a targeted exam to review the practices of certain member firms that actively communicate with retail customers concerning crypto assets and crypto asset-related services (Crypto Assets).1 FINRA reviewed retail communications received from these firms for compliance with FINRA Rule 2210 (Communications with the Public) which
In conjunction with World Investor Week 2024, the SEC’s Office of Investor Education and Advocacy (OIEA), FINRA and other industry regulators are issuing this Investor Bulletin to provide investors with information about the ways in which emerging technologies like AI and crypto assets, and digital platforms like social media and mobile trading apps, are increasingly influencing how people invest.
