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FINRA Handles Record Volume of Market Activity through First Six Months of 2018
/*-->*/ /*-->*/Cloud Strategy Enables Seamless Processing and Robust Market Surveillance
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Report from FINRA Board of Governors Meeting – July 2018
Board Approves Rule Proposals, Welcomes New Governors and Honors Retiring GovernorsWASHINGTON—FINRA’s Board of Governors held its third meeting of 2018 on July 18-19 in Washington, D.C., where it...
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FINRA Announces Enforcement Structure, Senior Leadership Team
Integration of Enforcement Functions Complete; Unified Enforcement Program Key Outcome of FINRA360WASHINGTON – FINRA announced today the Department of Enforcement’s new structure and senior leadership...
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FINRA Requests Comment on Fintech Innovation in the Broker-Dealer Industry
WASHINGTON — FINRA today issued a Special Notice seeking comment on how it can support financial technology (fintech) innovation consistent with its mission of investor protection and market integrity.
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Military Spouses Receive Fellowships to Conduct Financial Counseling
WASHINGTON — Fifty military spouses living in the United States and abroad will have an opportunity to earn the Accredited Financial Counselor® (AFC®) designation to offer one-on-one financial and...
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FINRA Publishes First Annual Industry Snapshot
Statistical Overview of Brokerage Firms, Registered Individuals and Trading ActivityWASHINGTON—FINRA today published the FINRA Industry Snapshot 2018, its first annual statistical report on the...
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FINRA Fines Interactive Brokers $5.5 Million for Regulation SHO Violations...
WASHINGTON – FINRA announced today that it has fined Interactive Brokers LLC (Interactive) $5.5 million for Regulation SHO violations and supervisory failures spanning a period of at least three years.
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FINRA Announces Governor Elections
WASHINGTON – FINRA announced today the election of three Governors to its Board of Governors:
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CE Council and FINRA Request Comment on Potential Enhancements for the...
WASHINGTON – The Securities Industry/Regulatory Council on Continuing Education (CE Council) is seeking comment on enhancements under consideration for the continuing education requirements for...
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FINRA Releases Report on the Rise of RegTech
Identifies Key Areas of Innovation, Benefits, Risks and Regulatory ConsiderationWASHINGTON – FINRA today released a white paper outlining recent regulatory technology (RegTech) developments within the...
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FINRA Charges Broker with Fraud and Unlawful Distribution of Unregistered...
First Disciplinary Action by FINRA Involving CryptocurrenciesWASHINGTON – FINRA announced today that it filed a complaint against Timothy Tilton Ayre of Agawam, Massachusetts, charging him with...
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FINRA Issues Alert Warning Investors of Stock Fraud Following Hurricane Florence
WASHINGTON – FINRA today issued an Investor Alert warning investors to beware of potential investment scams touting stocks and other investments promising huge financial gains in the wake of Hurricane...
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FINRA Foundation Awards 2018 Ketchum Prize to Dr. Annamaria Lusardi
George Washington University Professor Recognized for Outstanding Service and Research to Advance Investor Protection and Financial Capability in the U.S.
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FINRA Launches New SIE Exam to Streamline Examination Process for Prospective...
WASHINGTON – Starting Monday, October 1, FINRA will offer a new qualification exam—the Securities Industry Essentials (SIE)—for prospective candidates seeking to enter or re-enter the securities...
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FINRA Announces Plan to Consolidate Examination and Risk Monitoring Programs
WASHINGTON – FINRA announced today that it plans to consolidate its Examination and Risk Monitoring Programs, integrating three separate programs into a single, unified program to drive more effective...
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FINRA and FINRA Investor Education Foundation Promote World Investor Week 2018
WASHINGTON – Today marks the start of World Investor Week 2018, as FINRA and the FINRA Investor Education Foundation (FINRA Foundation) join securities regulators and investor advocates around the...
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CFA Institute and FINRA Foundation Study Debunks Common Myths about...
New research finds millennials lack confidence making investment decisions, cite lack of investment knowledge as barrier to investing, and show limited interest in robo-advisors
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Report from FINRA Board of Governors Meeting – September 2018
Board Approves Rule Proposals, Welcomes New Governor and Confirms Committee AppointmentsWASHINGTON – FINRA’s Board of Governors met on Sept. 26-27 at FINRA’s offices in New York, where it approved four...
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FINRA Fines LPL $2.75 Million for Complaint-Reporting and AML Program Failures
WASHINGTON – FINRA announced today that it has fined LPL Financial, LLC $2.75 million for complaint-reporting and AML program failures that spanned a period of more than three years.
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FINRA Foundation Names 2018 Recipients of First Annual Military Spouse...
Military Spouse Fellows Support the Military Community as Accredited Financial Counselors® to Help Increase the Financial Capability of Military FamiliesWASHINGTON — The FINRA Investor Education...
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