FINRA on Twitter
Greg Ruppert, @FINRA Member Supervision, shares what people can expect to see in our 2023 Report on Examination and Risk Monitoring Program.— FINRA (@FINRA) December 2, 2022
Learn more about our 2022 Firm Grouping Conference: https://t.co/yfjsF1icrI pic.twitter.com/Gi7F4a7T4B
We're alerting members to an emerging threat. @FINRA, @NASDAQ and @NYSE have observed IPOs for certain small-cap issuers listed on U.S. stock exchanges that may be the subject of pump-and-dump-like schemes.— FINRA (@FINRA) December 2, 2022
Learn more: https://t.co/DFS0LKbAof pic.twitter.com/GUfOl6aLgL
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.