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On-Demand Recording: Phone-In Workshop and WebEx Presentation
Original Program Date: April 6, 2017
On this video recording of an April 6, 2017, FINRA staff reviewed relevant rules and regulations, provided a demonstration of new related forms, and discussed testing and other relevant technical information.
On-Demand Recording: Phone-In Workshop and WebEx Presentation;
Original Program Date: April 6, 2017
Mr. Chairman and Members of the Subcommittee: Thank you for inviting us to testify on financial literacy and for allowing us to submit this statement for the record. NASD is committed to expanding the knowledge and confidence of all Americans wishing to build a more secure financial future through saving and investing.
April is Financial Literacy Month, making this a great time to think about actions you can take to boost financial capability. FINRA and the FINRA Investor Education Foundation offer many resources to support you and your loved ones along your financial journey.
Are you considering exchanging a variable annuity that you currently own with a new one? Replacing one variable annuity with another should involve an analysis and comparison of the complex features of each security. You should exchange your annuity only when it is the smartest move for you.
Testing the Effectiveness of Financial Education Across 76 Randomized Experiments
FINRA Rule 1210.09 established a waiver program for eligible individuals who left a member firm to work for a foreign or domestic financial services affiliate of a member firm with FINRA. FSAWP participants will be granted a waiver of their requalification requirements, including the Securities Industry Essentials® (SIE®) Exam, upon reapplying with FINRA within a single, fixed seven-year period,
A listing of general registration, membership, fingerprint processing, qualification examination fees.
