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Register to attend upcoming webinars which will introduce features of FINRA Gateway, the new FINRA reporting and compliance user experience—designed to streamline compliance functions to help you do your job more efficiently. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative will roll out over the coming months. Each webinar will cover a wide variety of
Sarah Wallis is Senior Vice President of Regulatory Operations (RegOps) Program Delivery. In this role, she supports FINRA’s efforts to continue strengthening and integrating its regulatory operations. To that end, Ms. Wallis oversees initiatives that advance an integrated operating model for RegOps and establish the standards, best practices, and infrastructure required to drive consistent
Are you looking beyond a traditional savings account to begin to invest in stocks, bonds or funds? Perhaps you’re looking for someone to help develop a road map for your financial future. These and other situations might make you consider contacting an investment professional.
The FINRA Certified Regulatory and Compliance Professional (CRCP)® Small Firm Scholarship Program was developed to facilitate participation from small firms—those with 150 or fewer registered representatives. The CRCP® Small Firm Scholarship is awarded to five industry professionals from small firms.
To be eligible for the CRCP Small Firm Scholarship, applicants must meet all of the following
In recent years, FINRA created the first uniform National Senior Investor Protection Standards. On this episode, we hear an update on where those senior investor protection rules stand today, explore some of the real-world scenarios in their application and provide tips for some of the tricky conversations that financial professionals might face in connection to their application.
Gen Z is beginning to invest younger than any generation before them. On this episode, we take a deep dive into a new study by the FINRA Foundation and CFA Institute looking at the attitudes and behaviors of Gen Z investors, including the role of crypto as an onramp, the use of social media and more.
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
FINRA in compliance with the provisions of the Americans with Disabilities Act (ADA) provides testing modifications and aids to candidates with disabilities and/or learning impairments that substantially limit a major life activity (e.g., learning, speaking, hearing, vision).