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WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $3.5 million for providing inaccurate mortgage performance information, supervisory failures and other violations in connection with subprime residential mortgage-backed securitizations (RMBS).
The FINRA Investor Education Foundation announced today that BrightScore®, an online credit management tool, will be offered free of charge to active duty military personnel and their spouses to help them manage their credit wisely. BrightScorea new offering of the FINRA Foundation's multifaceted SaveAndInvest.org Military Financial Education Programis presented in partnership with the InCharge Institute of America.
Scottsdale, AZ — The Financial Industry Regulatory Authority (FINRA) announced today that registered personnel and other frontline staff now can learn about their compliance obligations when working with senior customers through the latest in FINRA's series of free, instructional webcasts.
The interaction of securities industry professionals and the growing senior population raises
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This user guide is designed to assist Super Account Administrators (SAAs) and Account Administrators (AAs) in navigating through the Account Management System of the FINRA Entitlement Program.Section 1: Super Account Administrator (SAA) Information1.1 Considerations for Designating an SAA1.2 SAA Designation1.3 SAA Roles & Responsibilities1.4 Replacing or Updating an Existing SAA1.4.
FINRA today issued a new Investor Alert called It Pays to Understand Your Brokerage Account Statements and Trade Confirmations to help guide investors through the key elements of their account statements and trade confirmations.
Remarks From MarketsMedia/Traders Magazine Equity Market Structure Town Hall Forum
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith $1 million for failing to arbitrate disputes with employees relating to retention bonuses.
WASHINGTON — Financial fraudsters often attempt to evoke strong emotions in their victims to convince them to hand over money, and seniors may be particularly vulnerable to the effects of heightened emotions on decision making. With funding and research participation from the AARP Fraud Watch Network and the FINRA Investor Education Foundation, psychologists at Stanford University found that
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called "Gold" Stocks-Some Investments Mine Your Pocketbook to warn investors about investment scams that promote gold stocks and to provide information on how to invest in legitimate gold investments.
WASHINGTON — The Financial Industry Regulatory Authority issued a new Investor Alert — Stock-Based Loan Programs: What Investors Need to Know — to educate investors about non-recourse stock-based loan programs, including the risks and rewards of these loans.