Report From FINRA Board of Governors Meeting – December 2022 Board Approves Rule Proposals and FINRA’s 2023 Budget, Previews 2023 Report on FINRA’s Examination and Risk Monitoring Program WASHINGTON—FINRA’s Board of Governors held its fifth and final meeting of …
FINRA Publishes 2023 Report on Exam and Risk Monitoring Program Report Reflects New and Evolving Risks, Industry Trends, and Noteworthy Findings WASHINGTON—FINRA published today its 2023 Report on FINRA’s Examination and Risk Monitoring Program to provide member f …
Report From FINRA Board of Governors Meeting – March 2023 Board Approves Rule Proposal to Shorten the Securities Settlement Cycle to T+1 Consistent with Recent SEC Rule Changes, and Allocation of 2022 Fine Monies WASHINGTON—FINRA’s Board of Governors met on …
FINRA Publishes 2023 Industry Snapshot Options Trading Activity, Demographic Changes for FINRA-Registered Representatives Among New Data Available in this Year’s Snapshot WASHINGTON – FINRA today published the 2023 Industry Snapshot, the a …
FINRA and NFA Discuss Crypto Assets at Special Summit FINRA, NFA Expand MOU to Include Information Sharing, Collaboration WASHINGTON— FINRA and NFA recently held a special summit focused on crypto assets and agreed to expand their Memorandum of Understan …
FINRA Expels SW Financial, Suspends Owner and CEO Firm Made Misrepresentations to Customers and Violated Reg BI as well as FINRA’s Suitability and Supervision Rules WASHINGTON—FINRA announced today that it has expelled broker-dealer SW Financial for …
FINRA Foundation-CFA Institute Research Focuses on Gen Z Investors Report Examines Attitudes, Behaviors of Investors Ages 18 to 25 WASHINGTON—FINRA Investor Education Foundation (FINRA Foundation) and CFA Institute have released a new report, Gen Z and Investing: Soc …
Report From FINRA Board of Governors Meeting – May 2023 Board Appoints Lisa Fairfax as New Public Governor, Approves 2022 Annual Financial Report and Adds New Members to Advisory Committees WASHINGTON—FINRA's Board of Governors met on May 17-18 for th …
