Report From FINRA Board of Governors Meeting – December 2024 FINRA’s Board of Governors met on December 4-5. The agenda included discussions around FINRA’s 2025 budget, FINRA’s Outside Business Activities and Private Securities Transactions rules, and an overvi …
FINRA Highlights Metaverse Impact on Securities Industry The report is intended to raise awareness among FINRA member firms and the broader securities industry by providing an overview of how developments related to the metaverse may impact business models …
FINRA Announces Results of Board of Governors Elections FINRA announced today the results of its election of three Governors to its Board of Governors during the annual meeting of FINRA member firms on Wednesday. The elected Governors include: Large Firm G …
FINRA Campaign Urges New Investors to Take Key Steps Before Trading FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolera …
FINRA Publishes 2024 Industry Snapshot FINRA published the 2024 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms and market activity that FINRA oversees.
FINRA Appoints Julie Glynn and Tina Gubb as SVPs of Enforcement FINRA announced today that it has appointed Julie Glynn and Tina Gubb as Senior Vice Presidents of Enforcement. Gubb’s appointment is effective July 22, while Glynn’s appointment is effective in Septe …
SEC, MSRB, FINRA to Hold Hybrid Compliance Outreach Program The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB) and FINRA announced today that registration is now open for both in-person and virtual attendance of their Co …
