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A Key Architect of the ABLE Act Recognized for Efforts to Advance Financial Capability for People with DisabilitiesWASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) today awarded...
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FINRA and the FINRA Investor Education Foundation (FINRA Foundation) join securities regulators and investor advocates around the globe to raise awareness about the importance of investor education and...
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WASHINGTON—FINRA today announced the opening of registration for the 2020 FINRA Artificial Intelligence (AI) Virtual Conference and FinTech Office Hours Nov. 9-10.
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African American and Hispanic Investors Showed Greatest Increase in Interest in InvestingWASHINGTON, D.C.—Despite dramatic market volatility related to the COVID-19 pandemic during early 2020, investor...
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Varying Levels of Financial Knowledge Among Americans May Deepen InequalityWASHINGTON – Financial literacy is a strong indicator of positive financial outcomes for the future, but differing levels of...
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Throughout his tenure as Chairman of the SEC, Jay Clayton has been a strong advocate for investors and for fairness and integrity in our securities markets, and we have valued his partnership and...
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Board Approves Rule Proposals, Reaffirms Financial Guiding Principles and Appoints NAC, SFAC and Regional Committee MembersWASHINGTON – FINRA’s Board of Governors met on Dec. 2-3.
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WASHINGTON, D.C. — As many Americans head into the holidays unemployed and behind in rent and utility bills, a new report from the FINRA Investor Education Foundation and SaverLife found that people...
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WASHINGTON—FINRA announced today that it has appointed Scott W. Anderson as Executive Vice President and Head of Market Regulation and Transparency Services. Anderson began his career at NASD, FINRA’s...
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WASHINGTON – FINRA announced today that Michael Rufino will leave the organization at the end of this year after more than 32 years of dedicated service protecting investors and ensuring market...
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Firm Ordered to Pay $4.4 Million in Restitution to Approximately 2,400 Affected CustomersWASHINGTON—FINRA announced today that Transamerica Financial Advisors, Inc. (TFA) has agreed to pay...
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$2.7 Million in Restitution to Customers; Two Matters Resolved Through Settlements and 17 Matters Resolved Through Cautionary Actions, Resulting in Remediation to Customers and Correction of...
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Firm Also Fined $350,000 for Failing to Reasonably Supervise Recommended Securities Transactions and Other ViolationsWASHINGTON—FINRA announced today that it sanctioned Worden Capital Management LLC...
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WASHINGTON – The FINRA Board of Governors has appointed Deborah Bailey and Kathryn Ruemmler as new Governors. Bailey will serve as a public member, and Ruemmler as an industry member.
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Report Combines and Replaces Annual Exam and Risk Monitoring Findings Report, Priorities LetterWashington, D.C. – FINRA today published the 2021 Report on FINRA’s Examination and Risk Monitoring...
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WASHINGTON, D.C.— In a year when a pandemic gripped the world, beginning and experienced retail investors flocked to the stock market using taxable, non-retirement investment accounts, according to new...
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Financial Resilience Toughest for Millennials, Singles, Women and Those With Lower Incomes, No College Degree and Facing UnemploymentWASHINGTON, D.C.— Well before the COVID-19 pandemic, nearly four in...
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WASHINGTON—FINRA mourns the loss of former NASD Chairman and CEO Robert Glauber, a tireless advocate for the interests of investors and sound financial regulation throughout his distinguished career in...
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AARP, FINRA Investor Education Foundation and Heart+Mind Strategies identify key intervention opportunitiesWASHINGTON—AARP, the FINRA Investor Education Foundation (FINRA Foundation) and Heart+Mind...
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WASHINGTON—FINRA announced today that it has promoted Stephanie Dumont, formerly Senior Vice President and Director of Capital Markets Policy for FINRA's Office of General Counsel, to the role of...
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