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Thank you, John for that kind introduction. It's an honor to speak at this great university – and the McDonough School in particular. Georgetown University is an incredibly valuable resource – to its students and the entire business and financial community.
Advertising Department's response to recommendations of the Investment Company Institute concerning member use of hyperlinks.
Overview
FINRA launched the Helpline on April 20, 2015 to provide investors with access to specially trained FINRA staff who can assist senior and vulnerable adult investors with questions or concerns about their brokerage accounts and investments. As of December 31, 2019,5 the Helpline has received over 18,000 calls from all 50 states and several countries. Helpline callers range in age from 17
WASHINGTON, D.C. — Advertisements touting higher-than-average CD yields might actually be a lure to trick investors into buying costly investments, the Financial Industry Regulatory Authority said today in a new Investor Alert.
"In light of today's low interest rates, these ads attract attention. Some may be legitimate marketing, but calls into our Securities Helpline for Seniors
New FINRA360 Initiative Provides Small Firms Additional Assistance
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today launched a Small Firm Helpline, the latest in a series of actions to enhance support for small firms that have been taken as part of the FINRA360 organizational improvement program.
FINRA employees answering the toll-free Helpline, which will operate 9 a.m.
FINRA Dispute Resolution task force has issued its final report with recommendations detailed in the Final Report and Recommendations of the FINRA Dispute Resolution Task Force.
FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA announced today that it ordered Santander Securities LLC to pay approximately $4.3 million in restitution to certain customers who were solicited to purchase Puerto Rican Municipal Bonds (PRMBs).
Washington, DC — The Financial Industry Regulatory Authority (FINRA) announced today that its Board of Governors approved rule amendments designed to limit significantly the number of dispositive motions - more commonly known as motions to dismiss -- filed in its arbitration forum and to impose strict sanctions against parties who engage in abusive motions practices. "In many instances