- SIFMA Foundation and FINRA Announce Strategic Alliance to Expand Investor Education
WASHINGTON and NEW YORK—FINRA and the SIFMA Foundation today announced a new strategic alliance to expand access to financial education for young people nationwide. - FINRA Makes Investor Education Content Available on Zogo Financial Learning Platform
WASHINGTON—As part of its commitment to expanding investors’ access to trusted information, FINRA announced today that its investor education content is now available on Zogo, a gamified financial lea … - FINRA Launches Enhanced Investor Education and Protection Tools to Help Research Markets and Recognize Fraud
WASHINGTON—In a continuing effort to empower investors with the tools and knowledge they need to make informed financial decisions and avoid fraud, FINRA announced today the launch of the Market Data … - Report From FINRA Board of Governors’ September Meeting
WASHINGTON—At its meeting Sept. 29-30, the FINRA Board of Governors approved four rule proposals for filing with the SEC and received briefings on key initiatives, including FINRA's ongoing rule … - FINRA Fines Revere Securities $800,000 for Small-Cap IPO-Related AML and Supervisory Failures
WASHINGTON—FINRA has fined Revere Securities LLC $800,000 for anti-money laundering (AML) and supervisory violations related to small-cap initial public offerings (IPOs) for foreign-based issuers. As … - New Research Finds Most Investors Lack Advanced Investment Knowledge, Increasing Their Exposure to Investment Risk
WASHINGTON—To kick-off World Investor Week (October 5-11), the FINRA Investor Education Foundation (FINRA Foundation) and Stanford Initiative for Financial Decision-Making (IFDM), released new researc … - FINRA Foundation and AFCPE® Select the 2026 FINRA Foundation Military Spouse Fellows
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) and the Association for Financial Counseling and Planning Education® (AFCPE®) are excited to announce the selection of the 2026 co … - FINRA Bars Broker for Misappropriating $1.7 Million from Customers’ Accounts
WASHINGTON—FINRA has barred Rudy Anguiano of Chino Hills, CA, a former registered representative of LPL Financial LLC, from associating with any FINRA member firm in all capacities for conversion—the … - FINRA Orders American Portfolios to Pay $1.2 Million in Restitution and $400,000 in Fines for UIT Supervision Failures
WASHINGTON—FINRA has ordered American Portfolios Financial Services, Inc. to pay $1,232,939 in restitution, plus interest, to customers and has fined the member firm $400,000 for failing to reasonably … - FINRA Fines UBS Financial $20 Million for Anti-Money Laundering Violations
WASHINGTON—FINRA has fined UBS Financial Services Inc. (UBS Financial) $20 million for anti-money laundering (AML) violations.
