FINRA on Twitter
We have adopted changes to our rules to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings and appeals. These changes will become effective August 22, 2022.— FINRA (@FINRA) August 15, 2022
Learn more: https://t.co/SegDaQzImn pic.twitter.com/01wbmou2U3
The August Disciplinary Actions report is now available. ▶️ https://t.co/h7kNxQnked— FINRA (@FINRA) August 15, 2022
The issue includes multiple AML-related cases—a topic from this year's Report on @FINRA's Examination and Risk Monitoring Program. ▶️ https://t.co/0CzCcs9Rz8 pic.twitter.com/NOMXworou4
When you enter an order for a stock, what happens next?— FINRA (@FINRA) August 15, 2022
Read on to learn about the different places your order can be executed after you click "buy" or "sell" ▶️ https://t.co/HcqZayU5dk pic.twitter.com/B4dmZA8uNH
FINRA is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets.
Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence.
- every investor receives the basic protections they deserve;
- anyone who sells a securities product has been tested, qualified and licensed;
- every securities product advertisement used is truthful, and not misleading;
- any securities product sold to an investor is suitable for that investor's needs; and
- investors receive complete disclosure about the investment product before purchase.