- FINRA Announces Governor Elections and Appointments
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, a … - SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors
WASHINGTON—The Securities and Exchange Commission's Division of Examinations and Office of Municipal Securities (OMS), the Municipal Securities Rulemaking Board (MSRB), and FINRA today announced … - FINRA Announces Retirement of Executive Vice President of Member Supervision Bari Havlik; Greg Ruppert Appointed as Successor
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 curre … - FINRA Names Sarah Gill as Ombudsman, Cindy Foster as VP of MAP Program
FINRA today announced the appointment of Sarah Gill as Ombudsman and Cindy Foster as Vice President of the Membership Application Program (MAP) and Statutory Disqualification. As the new Ombudsman e … - New Research Examines Why Some Consumers are More Vulnerable to Financial Scams
WASHINGTON—New findings from a two-year study bring researchers closer to understanding why some people are more likely to lose money to financial fraud. The FINRA Investor Education Foundation (FINRA … - FINRA, NASAA and SEC OIEA Urge Investors to Establish a Trusted Contact to Increase Investor Protection
WASHINGTON—In a combined effort to provide additional protection for investors, FINRA and the North American Securities Administrators Association (NASAA) today announced a new campaign urging investo … - Report from FINRA Board of Governors Meeting – September 2021
Board Approves New Maintaining Qualifications Fee; Reaffirms FINRA’s Financial Guiding Principles WASHINGTON – FINRA’s Board of Governors met on Sept. 23-24 and approved a proposal to establish a mode … - FINRA Foundation Awards 2021 Ketchum Prize to Shawn Spruce
Champion of Financial and Investor Education in Native Communities Receives Highest Honor WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) today awarded Shawn Spruce the 2021 Ketc … - New Research: Racial And Ethnic Disparities Persist Among American Households Who Own Taxable Investments
Small, But Encouraging Gains Apparent Among Some Groups WASHINGTON—African Americans and Hispanics/Latinos continue to be underrepresented among investor households in America, despite modest gains by … - FINRA Orders Aegis Capital Corp. to Pay $1.7 Million in Restitution to Customers Whose Accounts Were Excessively and Unsuitably Traded; Two Supervisors Fined, Suspended for Failing to Respond to Red Flags; Representatives Sanctioned
Firm Also Fined $1.1 Million for Supervisory Failures WASHINGTON—FINRA announced today that it sanctioned Aegis Capital Corp. approximately $2.8 million, including $1.7 million in restitution to 68 cu …
