Saving for retirement is arguably the single most important financial endeavor most of us undertake. It takes initiative, planning and consistent saving and investing to create a nest egg to cover a retirement that could stretch two or more decades. No matter where you work or how much you earn, it’s important to start saving as early as possible to take maximum advantage of compounding, which
May 14 – 16, 2024 • Washington, DC. FINRA's premier event—this conference provides the opportunity for practitioners, industry peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. Register now!
Managing a retirement account takes some work. Your plan administrator generally handles your portfolio's actual transactions and the recordkeeping and reporting, but you decide when and how to reallocate and rebalance your assets.Beyond keeping tabs on the performance of your portfolio, you’ll want to know your plan’s rules and procedures and how much your plan and its investments are
FINRA announced today that it has fined M1 Finance LLC $850,000 for social media posts made by influencers on the firm’s behalf that were not fair or balanced, or contained exaggerated, unwarranted, promissory, or misleading claims.
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Friday, May 10, 2024, from 4:30 p.m. ET until the end of the day.Production systems are unaffected by this event. NTF will become available again for all products starting May 13, 2024. Please contact FINRA Product Management or call (866) 899-2107 with questions
Information for CandidatesEligibilityCandidate Information in FINDInformation UseAutomatically Opted OutFees for CandidatesContactsInformation for Broker-Dealer FirmsInformation for Candidates^ Back to topEligibility1. Am I automatically signed up for FIND?No, you must actively opt in to FIND.2. I did not opt in to FIND when I enrolled for the exam. Can I still opt in?Yes, you may still opt in
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1240.01 to reopen the period by which certain participants in the Maintaining Qualifications Program will be able to complete their prescribed 2022 and 2023 continuing education content.
401(k) and Other Employer-Sponsored PlansEmployer-sponsored retirement plans are just that: retirement plans offered by an employer to help its employees save for retirement. Plans are named for the section of the tax code where they’re described. Most are salary-deferral plans, meaning a plan in which the employee designates a portion of their salary to be deducted and put into the retirement
In accordance with the SEC’s amendments to Exchange Act Rule 15c6-1(a) to shorten the standard settlement cycle from two business days (T+2) to one business day (T+1), FINRA will sponsor a final User Acceptance Test (UAT) to allow clients to test the changes for T+1 Settlement for the Over-The-Counter Reporting Facility (ORF) and the Alternative Display Facility (ADF). The test will occur on
FINRA senior staff host this one-hour webinar to discuss the Remote Inspections Pilot Program. This session reviews frequently asked questions we’ve received, the open enrollment and opt-out periods, and the data and information requirement for the program.This event is open to FINRA member firms only and registration is required for each webinar. Participants must provide their firm's
