Survey Shows More Than Half of Respondents Use Financial Professionals, But Knowledge of Investment Concepts is Low and Generational Divides Exist
WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) announced today the results of its Investors in the United States 2016 report, which provides a detailed analysis of 2,000 survey respondents from across the United States who
This article is intended to clarify a factual reference to SEC Rule 17a-4 (f)(2)(i) previously reported in the Fall 2000, Volume 14.3, of the NASD Regulatory & Compliance Alert.
SEC Rule 17a-4 (f)(2)(i)
Q: If a broker/dealer intends to store records using electronic storage media, can a third party vendor provide services to a broker/dealer if the third-party vendor is an affiliated
NASD Rules 6950-6957 (OATS)
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and the National Football League (NFL) announced today that they are working together to assist incoming NFL players spot and avoid investment fraud and begin their playing experiences by making informed financial decisions.
The bipartisan bill, Investment Adviser Oversight Act of 2012, introduced today is an important and thoughtful effort to address a serious gap in investor protection.
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Summary
The Securities and Exchange Commission (SEC) approved a rule change to amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) to modify the rules to enhance regulatory consistency and address unintended operational impediments.1 These changes become effective on January 1, 2020.
The
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.
The new Complex Investigations and Intelligence (CII) team and Cyber and Analytics Unit (CAU) are driving a shift in terms of how Member Supervision’s National Cause and Financial Crimes Detection Program comes at its work and leverages intelligence and analytics to drive decision making and operations. On this episode, we hear how these changes will help FINRA better deliver on its mission of investor protection, market integrity.
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The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 10, 1994. On this day, The Nasdaq Stock MarketSM and the securities exchanges will be open for trading. However, it will not be a settlement date because many of the nation's banking
