Re: Effective Methods to Educate Newer Investors Dear Distinguished FINRA Representatives, As a FINRA member for 50 years, founder of several retail securities firms, and creator of Acorns, which has helped millions of new investors get started, I’ve gained a practical understanding of the behaviors and needs of novice investors. The number one finding is that people rarely learn about investing
Effective Wednesday, September 1, 2021, FINRA OATS Rules will be deleted from the FINRA rulebook. See Regulatory Notice 21-21 and OATS retirement notice.
As part of the proposed rule change to delete the OATS Rules from the FINRA rulebook, FINRA made conforming changes to the rules relating to FINRA’s Alternative Display Facility (ADF), Trade Reporting Facilities (TRFs) and OTC Reporting
Hear how to navigate current developments in FINRA’s communications rules and industry marketing practices including mobile apps, social media, and other digital channels. Panelists answer questions on how to embrace the future of communications while remaining compliant.
Cloud computing is transforming how broker-dealers operate by providing opportunities to enhance agility, efficiency, resiliency and security within firms’ technology and business operations while potentially reducing costs. On this episode, two members of FINRA’s Office of Financial Innovation join us to discuss the group’s latest report on cloud computing.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to (i) extend the expiration date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) to February 6, 2022 and (ii) extend to April 6, 2022 the implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) and
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend Form CMA (Continuing Membership Application Form) required under Rule 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to conform to amendments to the Membership Application Program (“MAP
FINRA Firm Grouping Member Forums are one-day free events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The forums also include thoughtful discussions around the future landscape of the financial services industry and provides opportunities to meet one-on-