- Maintaining Over $100 in Savings Linked to Increased Likelihood of Financial Stability in Lower Income Households
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 w … - FINRA Sanctions Transamerica Financial Advisors, Inc. $8.8 Million for Supervisory Violations Related to Variable Annuities, Mutual Funds and 529 Plans
Firm Ordered to Pay $4.4 Million in Restitution to Approximately 2,400 Affected Customers WASHINGTON—FINRA announced today that Transamerica Financial Advisors, Inc. (TFA) has agreed to pay approximat … - FINRA Appoints Scott W. Anderson as Head of Market Regulation and Transparency Services
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 … - FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded
Firm Also Fined $350,000 for Failing to Reasonably Supervise Recommended Securities Transactions and Other Violations WASHINGTON—FINRA announced today that it sanctioned Worden Capital Management LLC … - FINRA Announces Interim Progress of Voluntary 529 Plan Share Class Initiative
$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 Superviso … - FINRA Board Appoints Deborah Bailey and Kathryn Ruemmler as Newest Governors
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. - FINRA Publishes 2021 Report on FINRA’s Examination and Risk Monitoring Program
Report Combines and Replaces Annual Exam and Risk Monitoring Findings Report, Priorities Letter Washington, D.C. – FINRA today published the 2021 Report on FINRA’s Examination and Risk Monitoring Prog … - New Research: Global Pandemic Brings Surge of New and Experienced Retail Investors Into the Stock Market
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 ne … - New Research: Four in 10 American Households Had Difficulty Withstanding a Financial Crisis Before COVID-19
Financial Resilience Toughest for Millennials, Singles, Women and Those With Lower Incomes, No College Degree and Facing Unemployment WASHINGTON, D.C.— Well before the COVID-19 pandemic, nearly four i … - Statement by FINRA President and CEO Robert W. Cook Upon the Death of Former NASD Chairman and CEO Robert Glauber
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 i …
