While most Americans understand the importance of saving and investing, many do not possess the basic financial knowledge needed to make sound financial decisions, according to a recent study released by the FINRA Investor Education Foundation (FINRA Foundation).
Firm's President Fined and Suspended
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Monex Securities Inc. to pay $1,100,000 in disgorgement of commissions, plus interest, obtained by unregistered foreign individuals who sold securities on the firm's behalf. FINRA also fined Monex $175,000 for failing to register the foreign
FINRA Announces Election Results for District Committees, District Nominating Committees
University of Wisconsin-Madison Professor Recognized for Outstanding Service and Research to Advance Investor Protection and Financial Capability in the U.S.
WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) today announced that it has awarded Dr. J. Michael Collins the inaugural Ketchum Prize for outstanding service and research to advance investor protection and financial
Staff interpretation of the continuing commissions policy codified in NASD IM-2420.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today the election of Governors to its Board of Governors.
Stephen M. Cutler, Executive Vice President and Vice Chairman, JPMorgan Chase & Co., was elected as a Large Firm Governor, one of three representatives of large firms on the Board. Cutler has been a FINRA Governor since November 2016, when he was appointed
As the name implies, micro investing allows you to invest money in small amounts, often automatically. Some investing apps start you saving by simply rounding up the dollar amounts on purchases you make on a credit or debit card and putting the extra change into an investment account.
As of January 19, 1996, the following 35 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,984:
Symbol
Company
Entry Date
SOES Execution Level
ESTR
ElectroStar, Inc.
12/21/95
200
FRAG
French Fragrances, Inc.
12/21/95
200
HOMEF
Home Centers (DIY),
Limited (Ord Shs)
12/21/95
500
RGNT
Regent Assisted Living, Inc.
12/21/
WASHINGTON – FINRA announced today that it has named Greg Ruppert as Executive Vice President, National Cause and Financial Crimes Detection Programs. Ruppert will join FINRA March 23 and will report directly to Bari Havlik, Executive Vice President, Member Supervision.
“Detecting fraud and addressing it quickly is core to our mission of investor protection and market integrity,” said Havlik, “
WASHINGTON — Starting on Monday, May 16, investors will be able to buy securities in early-stage companies through crowdfunding. Investors interested in taking this step should first take time to consider the risks that may be involved in investing in these small businesses, according to a new alert from FINRA, the Financial Industry Regulatory Authority.
“Crowdfunding generates a lot of buzz,
