Modernizing FINRA Rules. FINRA is conducting a broad review of its rules to modernize requirements, facilitate innovation and eliminate unnecessary burdens. Empowering Member Firm Compliance. FINRA is ...
FINRA is a regulator of central importance to the functioning of U.S. capital markets. It is neither a true self-regulatory organization nor a government agency. It is largely unaccountable to the ...
Frms and advisors were hit with a phishing scam this week from fraudsters imitating FINRA executives, according to the brokerage regulator. According to a FINRA cybersecurity alert issued Wednesday, ...
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WASHINGTON--(BUSINESS WIRE)--FINRA’s Board of Governors met June 4-5. The Board approved two rule proposals, approved the appointments of new Advisory Committee members, met with Securities and ...
If you have been a longtime reader of this column, you've seen FINRA mentioned many, many times as a resource for investors. While FINRA (the Financial Industry Regulatory Authority) may look like ...
FINRA is warning of a phishing scam involving emails purpotedly sent by its senior executives but really coming from fraudsters. FINRA is telling brokerages to be on guard for phishing emails ...
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Julie Jason: What does FINRA do for investors?
If you have been a longtime reader of this column, you’ve seen FINRA mentioned many, many times as a resource for investors. While FINRA (the Financial Industry Regulatory Authority) may look like ...
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