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With over 20,000 companies whose shares trade either on a U.S. exchange or in over-the-counter markets, there’s ample room for confusion. Fundamental research and an understanding about the way in which stocks are listed and traded can go a long way toward helping you make sound investment decisions.
FINRA remains fully operational during the COVID-19 outbreak through the support of our robust remote work capabilities, and we continue to carry out our regulatory responsibilities of protecting investors and market integrity in these challenging times.
WASHINGTON—FINRA announced today that Tom Selman, Executive Vice President for Regulatory Policy and Legal Compliance Officer, is retiring after 24 years at the organization.
Selman, who joined in the organization in 1996, oversees a wide range of programs, including Corporate Financing, Advertising Regulation, the Office of Financial Innovation, the Office of Disciplinary Affairs and the
<p>Member that serves as investment consultant and sub-administrator for certain mutual funds, but does not serve as either the principal underwriter or an investment adviser or sub-adviser to the funds, may state in its public communications that it does not offer proprietary products.</p>
Washington, DC - FINRA announced today that it has fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA's (then NASD's) firm self-assessment of mutual fund breakpoint discount compliance.
FINRA announced today that it has ordered five firms to pay restitution estimated at more than $18 million, including interest, to affected customers for failing to waive mutual fund sales charges for eligible charitable organizations and retirement accounts.
Identifies Key Areas of Innovation, Benefits, Risks and Regulatory Consideration
WASHINGTON – FINRA today released a
2018 RegTech Report
outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.
The report follows an in-depth review
Executive Summary
FINRA’s annual Regional Committee, Small Firm Advisory Committee (SFAC) and National Adjudicatory Council (NAC) elections concluded in November. Additionally, the FINRA Board of Governors (FINRA Board) recently appointed individuals to fill a number of additional vacancies on the NAC and SFAC. This Notice lists the individuals recently elected and appointed to the SFAC, NAC and
The FINRA Entitlement Program provides a secure way to access participating Web-based systems with a shared entitlement service. This service provides authorized users the ability to access these systems with a single FINRA User ID and Password. Currently, there are more than 20 FINRA applications available via this shared entitlement platform and more applications will be added in the future.
Pennington Elected to One of Three Large-Firm Seats on FINRA Board
WASHINGTON—FINRA announced today that Penny Pennington, Managing Partner of Edward Jones, was elected as a large-firm governor of the FINRA Board of Governors at a special meeting of large-firm members.
“Penny’s leadership experience and knowledge of the industry will make her a valuable contributor to the Board of Governors’