Have you thought about taking steps to improve your financial health? The new year is a great time to check on your investments, revisit your budget, and improve your overall financial wellness. Read on for six tips to boost your financial savvy for the year ahead.
A spinoff occurs when a corporation divests itself of a division, which becomes an independent company that trades separately from its parent. Learn why corporations spin off subsidiaries and what this means for investors.
As previously announced FINRA plans to replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website in April of 2021.
A FINRA production User Acceptance Test (UAT) will occur on Saturday, March 6, 2021. Firms must register with FINRA Market Operations of their intent to participate in the UAT via an email to
To Whom It May Concern:
I retired just over a year ago. I had no pension at work nor any other sponsored retirement plan. I had my own investments in both IRAs and non-qualified accounts. My life has not been easy because of divorce and child custody battles, bad economies over the last 20 years, a relatively low income (mostly in the $50-$60 range) and living in high cost of living areas,
Remarks from the Women in Housing and Finance Luncheon, as prepared for delivery.
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Senior Management
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Training
Executive Summary
NASD Regulation, Inc. (NASD Regulation) as previously announced, has contracted with Sylvan Learning Systems, Inc., for the management and operation of its test center network. The current goal is to begin delivery in select Sylvan locations in January 1997. Candidates wanting to
This Report on FINRA’s Risk Monitoring and Examination Activities (the Report) is designed to inform member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations. For selected regulatory obligations, the Report: (1) identifies the applicable rule and key related considerations for member firm compliance programs, (2) summarizes noteworthy findings from recent examinations and outlines effective practices that FINRA observed during its oversight, and (3) provides additional resources that may be helpful to member firms.
(a) No member shall accept an order from a customer, including foreign customers and/or broker-dealers trading with or through the member, for eligible transactions of such customers that settle in the United States, pursuant to an arrangement whereby payment for securities purchased or delivery of securities sold is to be made to or by an agent of the customer unless all of the following
Sec. 10.1 (a) FINRA Regulation shall indemnify, and hold harmless, to the fullest extent permitted by Delaware law as it presently exists or may thereafter be amended, any person (and the heirs, executors, and administrators of such person) who, by reason of the fact that he or she is or was a Director, officer, or employee of FINRA Regulation or a National Adjudicatory Council or
FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
