Translate this pageI am often asked, what is an ombuds? An ombuds is a person who assists others with conflicts or concerns. FINRA’s Office of the Ombuds helps our constituents—investors, the broker-dealer industry, FINRA staff, and other FINRA stakeholders—with any concerns of potentially unfair FINRA practices or treatment. We also answer questions and help people navigate FINRA.In this report
Just over one year ago, FINRA launched the Innovation Outreach Initiative as part of FINRA360, our comprehensive organizational review. The Initiative began an ongoing dialogue with industry participants, investor advocates and policy makers centered on the implications of financial technology (fintech) for the broker-dealer industry.
More than 15,000 different stocks, options and bonds trade every day across millions of transactions. When it comes to detecting insider trading, it really is like finding a needle in a haystack. But that’s exactly what Sam Draddy and his team in the Office of Fraud Detection and Market Intelligence group do. Learn how in this episode of FINRA Unscripted.
Sec. 8.3 Each regularly elected member of a Regional Committee shall hold office for a "full term" which is the later of three years or until a successor is elected and qualified. Notwithstanding the term of office for a regularly elected Regional Committee member, such member's term shall terminate sooner upon the member's death, resignation, or removal. There is no
FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms
At FINRA, we’re the first line of oversight for the brokerage industry. And our employees are the defenders along that line, ensuring every day that we protect the investing public against fraud and other violations of FINRA rules and the federal securities laws.
We’ve built a framework and cultivated a mindset, a culture for innovation and collaboration. It not only helps ensure the securities
A reflection on AWS' Non-Profit Hackathon for Social Good
The use of negative response letters to change the broker-dealer of record on a mutual fund or variable insurance product account held directly at the issuer.
On this episode, we hear from members of both the Vulnerable Adults and Seniors (VAST) Intake and Investigations teams to hear how the groups work with individual investors, firms, states and other regulators to prevent and detect financial exploitation of senior and other vulnerable investors.
A financial professional designation is like a certification or credential. They’re different from registration or licenses. This bulletin can help investors better understand the professional designations financial professionals might use.
