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In a dynamic market, financial regulations change frequently because new technologies and opportunities for investors emerge. As the first line of oversight for the brokerage industry, FINRA is your best resource for information. We serve as a clearinghouse for all the latest compliance news, rules and regulations. Join us at our conferences, educational events and webinars to talk about what the newest developments mean for you.
List of extension reason codes with summary information and filing details.
Don’t trust that unexpected text or direct message from a stranger—it might be the first step in a “pig butchering” scam. These scams often involve fraudsters contacting targets seemingly at random, then gaining trust before ultimately manipulating their targets into phony investments and disappearing with the funds.
In investment-related impersonation schemes, scammers misuse the name of real registered investment professionals or firms to create the appearance of legitimacy. Imposter scams can be difficult to spot unless you know what you’re looking for. Here are patterns to be aware of and tips to help spot the fakes.
FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced communications compliance and marketing professionals. Industry and regulatory speakers facilitate interactive discussions of communications topics including new rules, effective practices, regulatory priorities and emerging technologies. The conference also provides the opportunity to network
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Incident FreeAll status information is reported on this page in Eastern Time (ET). To report a system outage or disruption, please email or call the FINRA Support Center at (301) 590-6500.CE Platform for Regulatory Element & Practical Element CE Scheduled MaintenanceStatus: Service disruptions will occur.Maintenance Period: Saturday, July 20, 2024, from 12 a.m. to 8 a.m.Description
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Ombuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”
FINRA’s Office of the Ombuds is an independent, neutral, and confidential resource for anyone with questions or concerns about FINRA, which regulates the U.S. brokerage
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Robert W. CookPresident and Chief Executive OfficerRobert W. Cook is President and CEO of FINRA.From 2010 to 2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission. Under his direction, the Division's professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities