- FINRA Foundation Research Reveals Gaps in Fraud Awareness That May Leave Americans Vulnerable
WASHINGTON—A new report released today by the FINRA Investor Education Foundation (FINRA Foundation) reveals troubling knowledge gaps that may leave millions of Americans vulnerable to victimization a … - FINRA Announces Results of Board of Governors Elections
WASHINGTON—FINRA announced today the results of its Board of Governors elections during its annual meeting of member firms on Monday. - FINRA Taps Christine Kieffer to Lead Investor Education Efforts
WASHINGTON – FINRA today announced that investor education and protection veteran Christine Kieffer will serve as Senior Vice President of FINRA’s Office of Investor Education and President of the FIN … - FINRA Expels Reid & Rudiger, Bars Cofounders
WASHINGTON—FINRA has expelled from membership Reid & Rudiger LLC (the firm) and barred cofounders Clifford Reid and CEO Edward Rudiger, Jr. from association with any member firm for churning and e … - Report From FINRA Board of Governors Meeting – June 2026
WASHINGTON—FINRA’s Board of Governors met on June 3-4 and approved four rule proposals as well as its 2025 Annual Financial Report. The Board also received several briefings, including on the FINRA en … - FINRA Publishes 2026 Industry Snapshot
WASHINGTON—FINRA published today its 2026 Industry Snapshot, an annual report that provides aggregate data about member firms, registered representatives, and market activity. - FINRA Fines Pictet Overseas and Blue Ocean ATS for AML and Supervisory Violations Involving Low-Priced Securities
WASHINGTON—FINRA has fined two member firms a total of more than $1.1 million for anti-money laundering (AML) and supervisory violations related to low-priced securities transactions. - FINRA Announces Review of Higher-Risk Structured Products
WASHINGTON—Consistent with its mission of investor protection, FINRA announced today that it will review firm practices regarding higher-risk structured products, specifically non-principal protected … - FINRA Strengthens External Relations Leadership with Two Senior Appointments
WASHINGTON—FINRA announced today two key additions to our senior leadership team to enhance engagement with regulators, policymakers, industry stakeholders and the media. - New FINRA Foundation Research Examines the Characteristics, Behaviors and Outcomes of Retail Investors Who Use Social Media
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today new research, Finfluencer Followers and Social Media Scrollers: The Profile, Patterns, and Pitfalls of Social-Media …
