- FINRA Names Timothy C. Scheve to Board of Governors
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) has named Timothy C. Scheve, President and Chief Executive Officer of Janney Montgomery Scott LLC, as a new Large Firm Governor on its … - FINRA, BOX, Cboe, IEX, NASDAQ and NYSE Fine Instinet, LLC for Market Access Rule Violations
WASHINGTON – Instinet, LLC has been censured and fined a total of $1.575 million for violations of various provisions of Rule 15c3-5 of the Securities Exchange Act of 1934 (known as the Market Access … - Bari Havlik Joins FINRA as Executive Vice President, Member Supervision
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has named Bari Havlik as Executive Vice President for Member Supervision. In that capacity, Havlik will be resp … - FINRA Helps Consumers Assess Risks of Using Data Aggregators to Organize Personal Finances
Sharing Sensitive Information Can Pose Potential Privacy and Security Risks WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert to help consumers consider t … - Across Generations, Women Trail Men in Financial Knowledge – but the Gap May Be Closing
WASHINGTON — Women consistently lag behind men on financial and investor literacy scores across generations of boomers, gen Xers and millennials, according to a multi-year study by the FINRA Investor … - FINRA Fines Aegis Capital Corp. $550,000 for Anti-Money Laundering and Supervision Rule Violations
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Aegis Capital Corp. $550,000 for failing to have adequate supervisory and anti-money laundering (AML) … - Report from FINRA Board of Governors Meeting – March 2018
WASHINGTON — FINRA’s Board of Governors held its first meeting of 2018 on March 7-8 in New York, where it approved two new rule proposals and FINRA’s 2018 corporate goals, as well as reviewed the prog … - FINRA Foundation Seeks Applicants for Military Spouse Fellowship
Fellows Provide Military Service Members and Their Families with Financial Counseling and Education Services While Earning Professional AFC® Credential WASHINGTON — Starting today, the FINRA Investor … - FINRA Warns Investors of 'Regulator' Imposter Scams
Con Artists Posing as FINRA CEO ‘Guarantee’ Fraudulent Investments WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert warning investors to beware of financ … - FINRA Foundation Announces New Appointments to Board of Directors
Foundation Unveils New Website for Mobile Optimization and Enhanced User Experience WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) today announced the appointment of three new …
