Board Approves Rule Proposals, Welcomes New Governor and Confirms Committee Appointments
WASHINGTON – FINRA’s Board of Governors met on Sept. 26-27 at FINRA’s offices in New York, where it approved four rule proposals, welcomed a new Governor and made several standing committee appointments.
At the September 2018 meeting, the FINRA Board continued its engagement with key stakeholders by meeting
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
New research finds millennials lack confidence making investment decisions, cite lack of investment knowledge as barrier to investing, and show limited interest in robo-advisors
NEW YORK – Conventional wisdom paints a picture of millennials as aggressive, knowledgeable, and confident when it comes to investing, but a new research study sponsored by CFA Institute and the FINRA Investor Education
Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System
Administrative Changes to the Continuing Education Regulatory Element Programs
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
