FINRA Investor News

February 2014

 

Investor Resources

 

FINRA Alert: 5 Do's and Don'ts for Greater Financial Security

 

FINRA Investor Alert: 5 Do's and Don'ts for Greater Financial SecurityCheck out these five tips to help you manage daily financial challenges and build a bright financial future in 2014.

 

View all Investor Alerts.

   

 

 

SEC Investor Bulletin: How Fees and Expenses Affect Your Investment Portfolio

 

As with anything you buy, there are fees and costs associated with investment products and services. These fees may seem small, but over time they can have a major impact on your investment portfolio. Read more.

 


 

FINRA Investor Education Foundation

 

FINRA Foundation and UnitedWay Worldwide Announce Grassroots Financial Education Grants

 

The FINRA Foundation and UWW have announced more than $1.2 million in grants to nine recipients as part of the Financial Education in Your Community initiative. The program funds community-based financial education programs across the country that provide effective, unbiased resources for individuals and families. Learn more.

 


 

Our Story

 

FINRA:Our Story Photo

 

Want to learn more about FINRA? Watch employees talk about who we are and what we do.

   

FINRA News

 

2/13/14 – FINRA Board Approves Rule Prohibiting Conditioning Settlements of Customer Disputes on a Customer’s Agreement Not to Oppose Expungement

 

2/6/14 – BATS Global Markets, FINRA Enter Regulatory Service Agreement

 

2/5/14 – FINRA Fines Brown Brothers Harriman a Record $8 Million for Substantial Anti-Money Laundering Compliance Failures

 

1/28/14 – FINRA Fines Banorte-Ixe Securities $475,000 for Inadequate Anti-Money Laundering Program and for Failing to Register Foreign Finders

 


 

Key Links

 

Investor Complaint Center

 

Market Data Center

 

Smart Investing

 

   

Top Tools

 

FINRA BrokerCheck®

 

Fund Analyzer

 

Risk Meter

 

Scam Meter

 

Understanding Investment Professional Designations

 

529 College Savings Plan Expense Analyzer

 

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