Service members or dependents may receive one-time lump sum payments for injuries, loss of life, insurance, or lawsuit proceeds. These payments can replace lost future income, so take steps to ensure they provide a long-term benefit for your family. To make the most of military benefits and lump sum payments consider these tips.
A crowdfunding intermediary must register with the Securities and Exchange Commission (SEC) as a broker or as a funding portal and become a member of a national securities association (FINRA). The following crowdfunding intermediaries are registered with the SEC as funding portals and are funding portal members of FINRA.Learn more about funding portals.For broker-dealer firms, view the Broker
Women’s financial influence is growing, but they may not be making the most of their increased financial power. Investing can seem intimidating, but it doesn’t need to be. Here are five ways women can take charge of their financial futures.
Increasingly, many investors have been choosing to put money where their values are—into a growing array of products that fall broadly into the category of environmental, social and governance investing, often called ESG investing for short. If you're thinking about investing in ESG products, here are some tips to keep in mind and traps to avoid.
Asset allocation means deciding what portion of your portfolio to invest in different asset classes, like stocks, bonds and cash. Diversification is the spreading of your investments both among and within different asset classes. And rebalancing means making regular adjustments to ensure you are hitting your target allocation. All are important tools in managing investment risk.
Retirement plans like a 401(k) are long-term investments. But that doesn’t mean you should set them up and forget about them until you retire. Schedule an annual 401(k) “checkup” to make sure your plan still meets your needs.
Like any other investment, employee stock awards come with risks. What should you consider if your company grants you a stock award or you're considering a job that includes equity compensation?
FINRA has 13 advisory committees that provide feedback on rule proposals, regulatory initiatives and industry issues. More than 160 industry members and 35 non-industry members serve on these committees. The advisory committees meet in-person or via teleconference typically between two and five times a year.Clearing Firm Advisory CommitteeCorporate Financing CommitteeEconomic Advisory
Release DateSystemAreaDescriptionOctober 27, 2024FinPro (Financial Professional Gateway)Continuing EducationA new “Not Required” CE status for the Regulatory Element will be added for individuals who are fully terminated. The status will be displayed only in the CE section.October 26, 2024FINRA GatewayIndividual ProfilesA new “Not Required” CE status for the Regulatory Element will be added for
These days many investors are trading online, whether through the Internet or through other electronic means, such as a mobile app. This may sound pretty straight forward, but there continues to be some common misconceptions about online trading. Here are four myths in need of busting.
