Avenues for charitable giving today go beyond traditional cash donations made directly to nonprofit organizations. Investment vehicles designed specifically for charitable donations provide opportunities to contribute other financial assets, including securities and property, and might also provide you with certain benefits, such as tax deductions or regular income payments.
The Award of Distinction recognizes a select group of exceptional performers who have significantly influenced or impacted one or more of FINRA’s strategic enterprise goals or key objectives through their sustained efforts.
FINRA’s Research and Development (R&D) program is an innovation engine for FINRA - a sandbox for staff to take risks, explore new and disruptive technologies, assess potential usefulness to FINRA use cases, as well as investigate and test solutions to known problems.
FINRA now offers candidates the choice to take an exam at a local test center or, for a limited number of exams, proctored remotely online. For either appointment type, please ensure you are prepared in advance of your test appointment and familiar with what to expect on the day of your exam. Please review and complete any necessary preparations indicated for your applicable test experience.
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Comparison shopping for financial products such as mutual funds and exchange-traded funds (ETFs) could pay big dividends. FINRA's Fund Analyzer tool can help you make informed decisions about the impact of fees and potential discounts on mutual funds, ETFs, exchange-traded notes and money market funds on your portfolio.
As part of its Transparency Services improvement initiative, beginning Monday, September 9, 2024, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system.FINRA will sponsor a second production User Acceptance Test (UAT) on Saturday, August 10, 2024, from 9 a.m. to 12 p.m. ET. TRACE clients are strongly encouraged to participate in this test to ensure
As of June 1, 2024ChairpersonDarlene Pasieczny*Samuels Yoelin Kantor LLPPortland, OR(Public)PublicOmar BengaliGirard Bengali APCLos Angeles, CAHugh D. BerksonMcCarthy, Lebit, Crystal & Liffman Co., LPACleveland, OHScott Eichhorn*University of Miami School of LawCoral Gables, FLJorge RieraRiera Law FirmCoral Gables, FLPatricia Vannoy*Mattson Ricketts Law FirmLincoln, NECourtney
Summary FINRA is updating the set of interpretations of the margin rule. The new, updated set of interpretations is available on the FINRA website and is effective upon publication of this Notice. To assist members, FINRA is simultaneously making available a guide to the updated interpretations that includes a text comparison with the previous interpretations and other
If you are aware of unfair practices or specific instances of abusive conduct, FINRA wants to know about it immediately.
