FINRA Investor News


December 2013

FINRA Investor Education Foundation


FINRA Foundation Releases Military Financial Capability Survey


The Military Survey is one of two linked surveys that constitute the 2012 National Financial Capability Study (NFCS). It provides insightful information on how military families manage their financial resources and make financial decisions. Results reveal that most military respondents are taking control of their finances. Three quarters have a retirement account, nearly 80 percent are living within their means and many have participated in financial education offered by the military.


Results of the State-by-State Survey were released earlier this year. The 2012 NFCS was developed in consultation with the President’s Advisory Council on Financial Capability, the U.S. Department of the Treasury and other federal agencies.


Read the press release. Learn more about the military and the state-by-state surveys.




Podcast: Stock Up on Information Before Buying Stock


Podcast: Stock Up on Information Before Buying StockOne of the most important tips to remember as a consumer is, "know what you're buying." This applies to investing in stocks as well. There are more than 20,000 companies with shares trading either on a U.S. exchange or over-the-counter. With so many companies and trading symbols, it's easy to get confused—and even more reason to research any investment carefully before buying stock.


Listen | 5 min. 38 sec.




12/19/13 – FINRA Fines Deutsche Bank Securities, Inc. $6.5 Million for Serious Financial and Operational Deficiencies


12/17/13 – FINRA Fines COR Clearing LLC $1 Million for Extensive Regulatory Failures


12/9/13 – FINRA Fines Oppenheimer $675,000 and Orders Restitution of More Than $246,000 for Charging Unfair Prices in Municipal Securities Transactions and for Supervisory Violations




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