- FINRA Foundation News: Military Spouses Receive Fellowships to Conduct Financial Counseling
WASHINGTON – Military service members and their families often face unique financial challenges complicated by frequent moves, cost of living adjustments and un- or underemployment of military spouses … - New Research: FINRA Foundation Explores Risky Financial Behaviors by Senior Investors
Study Suggests Overconfidence in Financial Knowledge May Lead to Excessive Financial Risk Taking Among Older Investors WASHINGTON, D.C. – America’s older investors, many facing diminished financial kn … - FINRA Sanctions Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC More Than $2 Million for Supervisory Violations Related to Variable Annuity Switches
Firms to Pay $1.4 Million in Restitution to Approximately 100 Affected Customers WASHINGTON—FINRA announced today that Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LL … - FINRA Executive Vice President Michael Rufino Announces Departure
WASHINGTON – FINRA announced today that Michael Rufino will leave the organization at the end of this year after more than 32 years of dedicated service protecting investors and ensuring market integr … - Report From FINRA Board of Governors Meeting – September 2020
Board Approves Two Rulemaking Items, Meets With External Stakeholders WASHINGTON – FINRA’s Board of Governors met virtually on September 9 and 10. During the meeting, the Board approved two rulemaking … - New Research: Two FINRA Foundation Studies Explore Links among Financial Knowledge, Cognitive Health, and Financial Decision Making in Older Americans
The FINRA Investor Education Foundation, in collaboration with researchers from Rush University Medical Center, released two studies today examining links among financial and health knowledge, cogniti … - FINRA Foundation Awards 2020 Ketchum Prize to Michael Morris
A Key Architect of the ABLE Act Recognized for Efforts to Advance Financial Capability for People with Disabilities WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) today awarde … - FINRA and the FINRA Investor Education Foundation Promote World Investor Week 2020
FINRA and the FINRA Investor Education Foundation (FINRA Foundation) join securities regulators and investor advocates around the globe to raise awareness about the importance of investor education an … - FINRA to Hold Artificial Intelligence (AI) Virtual Conference and FinTech Office Hours
WASHINGTON—FINRA today announced the opening of registration for the 2020 FINRA Artificial Intelligence (AI) Virtual Conference and FinTech Office Hours Nov. 9-10. - New Research: U.S. Investors Unfazed by Pandemic-Related Market Volatility
African American and Hispanic Investors Showed Greatest Increase in Interest in Investing WASHINGTON, D.C.—Despite dramatic market volatility related to the COVID-19 pandemic during early 2020, invest …
