- FINRA Publishes 2018 Report on Examination Findings
Second Annual Report Is the Latest Compliance Resource for Firms Resulting from FINRA360 WASHINGTON – FINRA today published its 2018 Report on FINRA Examination Findings, its second annual report deta … - FINRA Foundation Names 2018 Recipients of First Annual Military Spouse Fellowship Program Awards
Military Spouse Fellows Support the Military Community as Accredited Financial Counselors® to Help Increase the Financial Capability of Military Families WASHINGTON — The FINRA Investor Education Foun … - FINRA Fines LPL $2.75 Million for Complaint-Reporting and AML Program Failures
WASHINGTON – FINRA announced today that it has fined LPL Financial, LLC $2.75 million for complaint-reporting and AML program failures that spanned a period of more than three years. - Report from FINRA Board of Governors Meeting – September 2018
Board Approves Rule Proposals, Welcomes New Governor and Confirms Committee Appointments WASHINGTON – FINRA’s Board of Governors met on Sept. 26-27 at FINRA’s offices in New York, where it approved fo … - CFA Institute and FINRA Foundation Study Debunks Common Myths about Millennials and Investing
New research finds millennials lack confidence making investment decisions, cite lack of investment knowledge as barrier to investing, and show limited interest in robo-advisors - FINRA and FINRA Investor Education Foundation Promote World Investor Week 2018
WASHINGTON – Today marks the start of World Investor Week 2018, as FINRA and the FINRA Investor Education Foundation (FINRA Foundation) join securities regulators and investor advocates around the glo … - FINRA Announces Plan to Consolidate Examination and Risk Monitoring Programs
WASHINGTON – FINRA announced today that it plans to consolidate its Examination and Risk Monitoring Programs, integrating three separate programs into a single, unified program to drive more effective … - FINRA Launches New SIE Exam to Streamline Examination Process for Prospective Candidates Entering the Securities Industry
WASHINGTON – Starting Monday, October 1, FINRA will offer a new qualification exam—the Securities Industry Essentials (SIE)—for prospective candidates seeking to enter or re-enter the securities indus … - FINRA Foundation Awards 2018 Ketchum Prize to Dr. Annamaria Lusardi
George Washington University Professor Recognized for Outstanding Service and Research to Advance Investor Protection and Financial Capability in the U.S. - FINRA Issues Alert Warning Investors of Stock Fraud Following Hurricane Florence
WASHINGTON – FINRA today issued an Investor Alert warning investors to beware of potential investment scams touting stocks and other investments promising huge financial gains in the wake of Hurricane …
