In many cases, an unforeseen emergency can derail your financial plans. However, there are steps you can take to soften the impact of an unexpected hit to your finances. Here are a few tips on how to prepare for and survive financial hardships.
SEC Approval of FINRA Rule 4554 (Alternative Trading Systems—Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
Thank you, Gerri and Anna, and thanks to everyone for joining us today for the release of the 2015 National Financial Capability Study findings. This study was a tremendous undertaking that could not have happened without the hard work of many people and organizations, including the George Washington University’s Global Financial Literacy Excellence Center. The Center played a large role in this
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Summary
FINRA requests comment on a proposed pilot program to study changes to corporate bond block trade dissemination based on recommendations of the Securities and Exchange Commission's (SEC) Fixed Income Market Structure Advisory Committee (FIMSAC or Committee). Specifically, the proposed pilot is designed to study two primary changes recommended by the FIMSAC: an increase to the
The new Complex Investigations and Intelligence (CII) team and Cyber and Analytics Unit (CAU) are driving a shift in terms of how Member Supervision’s National Cause and Financial Crimes Detection Program comes at its work and leverages intelligence and analytics to drive decision making and operations. On this episode, we hear how these changes will help FINRA better deliver on its mission of investor protection, market integrity.
INFORMATIONAL
Limit Order Protection
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Registered Representatives
Trading & Market Making
Limit Order Protection
OTCBB
Executive Summary
On February 8, 2001, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD®) Rule 6541 (Rule), which, on a pilot
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in losses. That’s why FINRA worked to update Rule 4512 and implement Rule 2165 to help broker-dealer firms and their representatives protect their senior and other vulnerable adult customers. On this episode, we learn more.
FINRA's Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced advertising professionals. Industry and Regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulation. This year’s conference also includes opportunities to networking with industry peers and meet one-on-
