By Bill St. Louis, Executive Vice President and Head of FINRA EnforcementFINRA Enforcement works on the front lines of investor protection. This blog post discusses some of the key objectives that drive this critical work.
Blog
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By Karen Braine, Vice President, Surveillance and Market Intelligence, Insider Trading Detection
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By Christine Kieffer, Senior Director, Office of Investor Education, FINRA
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By FINRA Departments of Member Supervision and Enforcement
A call to FINRA’s Senior Helpline resulted in $3.4 million returned to approximately 300 customers.
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For 20 years, FINRA’s Trade Reporting and Compliance Engine, known as TRACE, has contributed to reduced trade execution costs, facilitated price formation, aided regulatory programs and protected investors, as detailed in a recent blog commemorating this m
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This Friday – July 1, 2022 – will mark the 20th anniversary of FINRA’s Trade Reporting and Compliance Engine, known as TRACE to everyone in the fixed income industry and regulatory community.
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Testing the Effectiveness of Financial Education Across 76 Randomized Experiments
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