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WASHINGTON – Many U.S. investors with “alarmingly low” levels of financial knowledge lack confidence in their ability to meet their financial goals, according to new research conducted by the FINRA Investor Education Foundation (FINRA Foundation) and the Global Financial Literacy Excellence Center (GFLEC) at the George Washington University School of Business.
“Investors are seeing a rapid
Broker-dealers are at various stages in their cloud computing journey. Firms identified their size, business focus, existing IT infrastructure, and firm culture as some of the factors that influence their path to implementing cloud computing. While it is difficult to generalize for the entire industry, the following broad categories related to cloud migration may be helpful to understand broker-
To whom it may concern,
Please do NOT restrict access to public investments to only your preferred group of wealthy individuals. As a non-accredited retail investor it is incredibly frustrating to be denied access to the same investments that other people have access to simply because my portfolio isn't large enough. The proposed regulations only serve to prohibit retail investors such
With the holiday season upon us and 2023 coming to an end, FINRA’s Cyber and Analytics Unit (CAU) would like to remind member firms to prepare for cyber threats and attacks that may occur around the holidays. Member firms and their vendors should consider reviewing and validating their Written Supervisory Procedures (WSPs), continuing to educate their employees with respect to cybersecurity and effective practices, and testing incident response plans (IRPs) to prepare for, prevent, or recover from an incident.
Abby Slonecker joined FINRA in early 2021 as Chief of Staff to Greg Ruppert and Senior Vice President of Member Supervision’s Office of Strategy and Program Risk (OSPR). In her role as Chief of Staff, she executes Greg’s strategic vision toward fulfilling FINRA’s mission and advises his Senior Leadership team. As SVP of OSPR, she oversees five teams that advise and support Member Supervision’s
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
WASHINGTON – Market participants have raised questions concerning the application of the federal securities laws and the rules of the Financial Industry Regulatory Authority (“FINRA”) to the potential intermediation—including custody—of digital asset securities1 and transactions. In this statement, the staffs of the Division of Trading and Markets (the “Division”) and FINRA (collectively, the “
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Training
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed Corporate Financing Rule (the "Rule") that, if adopted, would replace the current Interpretation
The festive season is here. Are you looking for the perfect gift for the compliance professional in your life? Look no further. On this episode, we cover the top five FINRA compliance resources, or gifts, for compliance professionals with FINRA's Head of Member Relations and Education.