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The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual...
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FINRA’s Maintaining Qualifications Program (MQP) is currently open for eligible individuals during a second enrollment period, until December 31, 2023. The second enrollment period is available to...
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The FINRA Investor Education Foundation (FINRA Foundation) today awarded Doug Shadel, Ph.D., the 2023 Ketchum Prize—its highest honor—in recognition of his outstanding service and research on...
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FINRA announced today that it has promoted Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program (NCFC), effective October 2.
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Report Brings Attention to Opportunities and Risks Presented by the TechnologyWASHINGTON— FINRA released today a new report, Quantum Computing and the Implications for the Securities Industry. While...
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WASHINGTON— FINRA announced today that after nine years in the Department of Enforcement, Christopher Kelly plans to leave FINRA on Nov. 1 to pursue other opportunities. In his most recent role of...
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Jon Kroeper, Executive Vice President, Quality of Markets, is leaving FINRA, effective at year end, to pursue other opportunities.
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FINRA announced today that it has fined BofA Securities, Inc. $24 million for engaging in more than 700 instances of spoofing through two former traders in U.S. Treasury secondary markets and related...
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FINRA announced today that it has sanctioned four firms—M1 Finance LLC, Open to the Public Investing, Inc., SoFi Securities LLC, and SogoTrade, Inc.—a combined $2.6 million, including over $1 million...
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FINRA’s Board of Governors held its fifth and final meeting of the year on December 6-7. During the meeting, the Board approved two rule proposals and FINRA’s 2024 proposed budget , and continued...
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WASHINGTON—FINRA announced today that it has appointed Feral Talib as Executive Vice President and Head of Surveillance and Market Intelligence. He will assume the role on January 2.
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FINRA published its 2024 FINRA Annual Regulatory Oversight Report, formerly known as the Report on FINRA’s Examination and Risk Monitoring Program. The report provides member firms with key insights...
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Investors of Color are Entering the Market at a Faster Pace than White Investors and Tend to Be Much Younger, Report Shows
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FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according to a report published today on the...
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New members have been appointed to the Board of Directors of the non-profit FINRA Investor Education Foundation (FINRA Foundation), and Jonathan Sokobin has been named Chair, effective February 12, 2024.
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FINRA announced today that it has fined Morgan Stanley Smith Barney LLC $1.6 million for the firm’s repeated failures to timely close out failed inter-dealer municipal securities transactions and to...
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FINRA announced today that Derrick Roman, former partner of PricewaterhouseCoopers LLP (PwC), and Gus Sauter, current member of FINRA’s Investment Committee, have been appointed as public governors on...
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During its March 6 and 7 meeting, the FINRA Board of Governors approved a rule proposal to lower the age at which parties qualify for accelerated arbitration processing and approved the allocation of...
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FINRA announced today that it has fined M1 Finance LLC $850,000 for social media posts made by influencers on the firm’s behalf that were not fair or balanced, or contained exaggerated, unwarranted,...
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FINRA has begun disseminating individual transactions in active U.S. Treasury securities at the end of the day, raising the level of transparency in the market for these benchmark securities.
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