Increases Transparency into Budget; Includes No Fee Rate Increases for Member Firms
WASHINGTON — The Financial Industry Regulatory Authority today published for the first time its
FINRA’s 2018 Financial Guiding Principles
for the coming year. The additional transparency supplements the audited annual financial report FINRA has long published, responds to
It's important to know what you want to accomplish with your investments before you actually invest. Learn how to set your financial goals, get a handle on your cash flow, control spending, manage debt and get on the path to saving and investing.
Take a Smart Investing Course
Taking one of FINRA’s Smart Investing Courses can help you expand your knowledge of key investing topics. Learn
Monthly Disciplinary Actions January 2018
Expecting a bump in your pay soon? You're not alone. But before you get carried away, it’s time to stop and think about how you can make the most of the extra cash so you aren’t soon left wondering how you ever lived on less.
Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination
On August 18, 2008, BATS Trading ("BATS") announced that it had received approval from the Securities Exchange Commission to operate a stock exchange, BATS Exchange, Inc.
Firms and associated persons are required to provide complete, up-to-date and accurate information on registration forms (e.g., Form BD, Form U4, Form U5 and other forms) (“Filings”). Some of the information required to complete these Filings is personal information. Please review the guidance provided on this page on how to protect this information.
Personal Information Required
As a matter of
