FINRA Updates Supplemental Statement of Income
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
Fellowship Program Grants Military Spouses the Opportunity to Achieve the AFC Credential and Help Address Unique Financial Circumstances in Military Communities
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) and the Association for Financial Counseling and Planning Education® (AFCPE®) announced today the recipients of 2023 FINRA Foundation Military Spouse
Proposed Rule Change to Amend FINRA Rule 1220(a)(4) (Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal)
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
FINRA has created this page to educate member firms on “Firm Identity Theft”.
Regulations kill innovation.
SummaryFINRA has adopted amendments to its rules to clarify the application of FINRA rules to security-based swaps (SBS):1FINRA has adopted a new Rule 0180 (Application of Rules to Security-Based Swaps), which, along with conforming amendments to Rule 9610 (Procedures for Exemptions—Application), will become effective February 6, 2022. The new rule replaces the expiring temporary Rule 0180 and
Deferred variable annuities are hybrid investments containing securities and insurance features. Their sales are regulated both by FINRA and the Securities and Exchange Commission (SEC). These annuities offer investors choices among a number of complex contract features and options.
Due to the complexity and confusion surrounding them, which can lead to questionable sales practices, variable
eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants
