The FINRA Securities Helpline for Seniors is a toll-free number that senior investors can call to get assistance from FINRA or raise concerns about issues with brokerage accounts and investments.
Financial social media influencers or finfluencers are growing in popularity as a cheap way to reach a new generation of investors. But using this newer form of advertising comes with risks. On this episode, we learn more about the regulatory requirements around the use of social media influencers and hear some best practices for firms looking to make use of “finfluencer” programs.
The Series 4 exam — the Registered Options Principal Qualification Exam (OP) — assesses the competency of an entry-level principal to perform their job as a registered options principal.
FINRA Rule 2210(d)(8) (Communications with the Public) requires a firm to include a readily apparent reference and hyperlink to BrokerCheck on the initial Web page that the firm intends to be viewed by retail investors, and any other webpage that includes a professional profile of one or more registered persons, who conduct business with retail investors. A summary of the rule’s requirements is
A member firm may include related performance information in institutional communications concerning variable contracts, subject to the stated conditions discussed in the letter.
On this episode, we delve into the results of FINRA's targeted review of certain member firms and their communications to retail investors regarding crypto products and services.
Web Delivery of the Continuing Education Regulatory Element ProgramFINRA has transitioned the delivery of the Continuing Education (CE) Regulatory Element to an online format. The CE Program provides participants with the flexibility to satisfy their CE Regulatory Element training requirement from a home or office computer—anytime, anywhere. Participants complete a computer-
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