FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Information and Data Reporting and Filing Requirements
Dispute Resolution Services invites you to take advantage of significantly reduced mediation prices during FINRA Mediation Settlement Month. To participate in this program, Parties must have entered into a mediation agreement by October 31, 2024, and conducted the mediation by December 31, 2024.The SavingsFINRA participating mediators will offer the following rates for mediation sessions, to be
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.
But Credit Card Debt and Underwater Mortgages Weigh Heavily on Vets
WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) today released a new study that shows veterans are faring slightly better financially than civilians, even as they struggle under the weight of credit card debt and underwater mortgages.
The study is the nation’s first comprehensive comparative analysis of
The present name of the corporation is Financial Industry Regulatory Authority, Inc. (the "Corporation"). The Corporation was originally incorporated as a nonstock corporation under the name of Investment Bankers Conference, Inc., and its original Certificate of Incorporation was filed with the Secretary of State of the State of Delaware on September 3, 1936. This Restated
New York - The Financial Industry Regulatory Authority (FINRA) today announced it has filed a proposed rule change with the Securities and Exchange Commission to have investor cases with claims of up to $100,000 in dispute heard by a single public arbitrator, an increase from $50,000.
SEC Approves Rule Amendment to Create a New Academic Corporate Bond TRACE Data Product
(a) Call for Review by Governor
A Governor may call an eligibility proceeding for review by the FINRA Board if the call for review is made within the period prescribed in paragraph (b).
(b) 15 Day Period; Waiver
A Governor shall make his or her call for review not later than the next meeting of the FINRA Board that is at least 15 days after the date on which the FINRA Board receives the
The FINRA Certified Regulatory and Compliance Professional (CRCP)® Small Firm Scholarship Program was developed to facilitate participation from small firms—those with 150 or fewer registered representatives. The CRCP® Small Firm Scholarship is awarded to five industry professionals from small firms.To be eligible for the CRCP Small Firm Scholarship, applicants must meet all of the following
