Clik here to view.
Article 1
Board Approves Rulemaking Item and Use of 2020 Fine Monies; Moves Forward With Advanced Analytics Strategic InitiativeWASHINGTON – FINRA’s Board of Governors met on March 3 and 4 for the first time in...
View ArticleClik here to view.
Article 0
WASHINGTON, D.C.— While the economic fallout caused by COVID-19 has led to a significant rise in tips, complaints and referrals involving investment scams, new research from the FINRA Investor...
View ArticleClik here to view.
Article 0
WASHINGTON, D.C.— The harmful consequences of Americans’ prolonged social isolation due to the coronavirus pandemic may be even greater for lonely older adults with low cognition. These individuals are...
View ArticleClik here to view.
Article 1
We congratulate Gary Gensler on his confirmation as Chairman of the Securities and Exchange Commission. Chairman Gensler brings to the Commission an outstanding record of public service, deep expertise...
View ArticleClik here to view.
Article 0
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Goldman Sachs & Co. research analyst Brian Maguire for twice purchasing securities after...
View ArticleClik here to view.
Article 0
New study finds lack of financial literacy linked to high levels of stress and anxietyWASHINGTON (April 28, 2021)—A substantial number of adults in the United States between the ages of 21 and 62 felt...
View ArticleClik here to view.
Article 3
Studies Advance Understanding of Financial Capability in the United StatesWASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation), in partnership with the American Council on Consumer...
View ArticleClik here to view.
Article 2
Statistical Overview of Brokerage Firms, Registered Representatives and Trading ActivityWASHINGTON—FINRA today published the 2021 FINRA Industry Snapshot, its annual statistical report on the brokerage...
View ArticleClik here to view.
Article 1
Board Approves 2020 Annual Financial Report; Adopts Advisory Committee Term Limits in Support of Greater Diversity and InclusionWASHINGTON – FINRA’s Board of Governors met on May 18-19, 2021. During...
View ArticleClik here to view.
Article 0
Following consultations with the SEC staff, we temporarily withdrew from SEC consideration our rule filing establishing specialized arbitration panels for expungement requests so that we can further...
View ArticleClik here to view.
Article 0
Regulators Providing Free Training in Recognition of World Elder Abuse Awareness Day; Program Aims to Assist Firms in Implementing Requirements of Senior Safe ActWASHINGTON—In recognition of World...
View ArticleClik here to view.
Article 9
Board Approves Rulemaking Item and Use of 2020 Fine Monies; Moves Forward With Advanced Analytics Strategic InitiativeWASHINGTON – FINRA’s Board of Governors met on March 3 and 4 for the first time in...
View ArticleClik here to view.
Article 9
WASHINGTON, D.C.— While the economic fallout caused by COVID-19 has led to a significant rise in tips, complaints and referrals involving investment scams, new research from the FINRA Investor...
View ArticleClik here to view.
Article 0
WASHINGTON—FINRA announced today that it has ordered Merrill Lynch, Pierce, Fenner & Smith, Inc. to pay more than $8.4 million in restitution to more than 3,000 customers who incurred potentially...
View ArticleClik here to view.
Article 1
Firm Ordered to Pay Approximately $70 Million for Systemic Supervisory Failures and Significant Harm Suffered by Millions of CustomersWASHINGTON—FINRA announced today that it has fined Robinhood...
View ArticleClik here to view.
Article 0
FINRA and FINRA Foundation Issue Special Notice Soliciting Comment on Ways to Reach and Educate Novice InvestorsWASHINGTON—FINRA today announced it has launched a multi-year, multi-faceted $30 million...
View ArticleClik here to view.
Article 0
WASHINGTON – The FINRA Board of Governors has appointed Sam Deshpande as a new public Governor. Deshpande is Chief Information Officer for Humana, a U.S. health insurance company. His term on the FINRA...
View ArticleClik here to view.
Article 2
FINRA Requests Comments on Report WASHINGTON—A diversity of cloud computing models is transforming how broker-dealers operate, with the potential to enhance agility, efficiency, resiliency and security...
View ArticleClik here to view.
Article 1
WASHINGTON – FINRA announced today the election or appointment of five industry members to its 22-member Board of Governors.Seven of the 10 industry seats on FINRA’s Board are decided via election, and...
View ArticleClik here to view.
Article 0
WASHINGTON—FINRA announced today that Bari Havlik, EVP and Head of the Department of Member Supervision, plans to retire from FINRA later this year. Havlik will be succeeded by Greg Ruppert, who...
View Article