Certain committees are required pursuant to FINRA’s By-Laws. In addition, the FINRA Board is authorized to appoint committees to facilitate and assist in the execution of the Board’s responsibilities.The current standing committees include: Audit & Risk CommitteeCompensation and Human Capital CommitteeConflicts CommitteeExecutive CommitteeFinance, Operations & Technology
In my opinion, investors should have the right to decide which public equities, bonds, ETF's and mutual funds they want to buy. The FINRA plan puts this right on the government and regulators, not us. This eliminates our right to decide what is best for me.
Although it is too early to tell, we might be experiencing a major shift in the markets. Let me explain. For the last 40 years
Frequently Asked Questions (FAQs) about the logistical aspects of the Remote Inspections Pilot Program, including the opt-in process.
The Fellowship Program Gives Military Spouses Resources and Accreditation to Help Their Community Overcome Financial Strains and Advance Their Careers
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) and the Association for Financial Counseling and Planning Education® (AFCPE®) announced today the 2022 FINRA Foundation Military Spouse Fellowship recipients.
Forty-five
Direct Edge received approval from the Securities Exchange Commission to operate two stock exchanges, EDGA Exchange Inc. and EDGX Exchange Inc. Direct Edge plans its transition from ECN to Exchange to take place on a security-by-security phase-in approach over a period of weeks commencing May 12, 2010.
The following are details of FINRA's policy for the retransmission of FDIC-Backed bonds available via the BTDS (corporate bond) data feed.
FINRA Provides Guidance on Advertising Regulation Issues
For service members, a missed credit card payment might do more than just ding their credit report, it could also jeopardize a hard-fought promotion. And for their spouses, move after move might be more than just a logistical hardship, it might also be the biggest hurdle in their own career growth. The FINRA Foundation Military Spouse Fellowship Program is just one program that is aiming to address both challenges.
Thank you very much, Mr. Secretary. It's an honor to be here today with you and Secretary Duncan.
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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 8, 2018
As is our practice, we are marking the start of the new year by publishing our annual
2018 Regulatory and Examination Priorities Letter
