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Contribution to Provide Ongoing Support for Research and Education Aimed at Improving the Financial Capability of Individuals and Families Nationwide
WASHINGTON—The Board of Governors of the Financial Industry Regulatory Authority (FINRA) approved a $50,000,000 contribution to the FINRA Investor Education Foundation to provide continuing support for the Foundation’s innovative research and
FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
A “family office,” as defined in the Advisers Act, may be considered an “investment adviser” for purposes of meeting the limited exception of FINRA Rule 5131.02.
A major hurricane is bearing down on the East Coast, and others likely will follow. As millions scramble to prepare for this latest natural disaster, it pays to assemble a financial emergency kit now.
The Variable Annuities section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
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).
Washington, DC - The Financial Industry Regulatory Authority (FINRA) today announced that the Securities and Exchange Commission (SEC) has approved an important change FINRA requested to its dispute resolution rules that will significantly reduce the frequency of motions to dismiss arbitration cases before investors have a chance to present their case.
As part of FINRA’s Member Supervision Transformation, each firm was assigned a Single Point of Accountability – a senior leader in Member Supervision that helps firms navigate their experience with FINRA. On this episode, we are joined by two SPOAs to learn more about their roles and priorities.
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan and Finance Committee Chair Jim Weddle to discuss rulemaking and other issues addressed at FINRA's December 5 Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
WASHINGTON - Richard G. Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority (FINRA) released the following statement on the announcement of the resignation of Mary L. Schapiro, Chairman of the Securities and Exchange Commission, and the appointment of Elisse B. Walter as her successor: