Taking a test for my investment choice repulses me. This law would set a bad precedent and add to government overreach. Let the buyer beware
For Brokers and Advisers Registered with FINRA
Go to your state securities regulator to perform additional research on brokers and advisers.
Check if the SEC has brought formal actions against an individual.
Check if a financial professional has a criminal record.
For Other Financial Professionals
Commodities and Futures Brokers
CFTC Smart Check
National Futures Association BASIC
Insurance
Guidance to Members Affected by Hurricane Sandy
I need to be able to choose public investments. Stop this unfair rule change. I do not need to go through any test before I can invest.
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley DW Inc. (now known as Morgan Stanley & Co. Incorporated) $1.5 million and ordered the firm to pay more than $4.6 million in restitution for rule violations relating to the sale of corporate bonds to retail customers at excessive prices. The firm was cited for charging
Technology has long played a central role in financial services innovation. It continues to do so today as many firms in the securities industry introduce new digital investment advice tools to assist in developing and managing investment portfolios. FINRA undertook a review of selected digital investment advice tools to assess these developments.
The observations and practices in this report
Background
FINRA administers qualification examinations that are designed to establish that persons associated with broker-dealers have attained specified levels of competence and knowledge pertinent to their function. Over time, the qualification examination program has increased in complexity to address new products and functions, and related regulatory concerns and requirements.
To improve
Board Approves Allocations of 2019 Fines and Proposed Trade-Reporting Fees Related to Treasury Securities
WASHINGTON – FINRA’s Board of Governors met on March 11 for the first time in 2020. During the meeting, held remotely in light of the coronavirus outbreak, the Board discussed a variety of topics, including FINRA’s long-term planning and financial sustainability. As is now customary for the
Hello, you need to fix your system asap. Naked shorting is way too easy and the fines are just ridiculously low. Remember: A fine that doesn't even cover the amount they gained and doesn't result into jail time is just a high bar entry check, nothing more... Dark pools are the shadiest crap I've ever seen in my whole life. What is fair about SOME folks being allowed to hide their
On Monday, May 5, 2014, FINRA introduced a new tool called the Dashboard that provides information about the status of offerings filed for review in the Public Offering System.
