FINRA’s Eighth Annual Createathon and internal hackathon premieres October 16-19 at the University of Shady Grove in Rockville. This year’s event is powered by the theme “Level Up,” reflecting the importance of continually expanding our expertise and knowledge.
FINRA Dispute Resolution Services (DRS) does not require vaccination, COVID testing, or Health Self-Assessments for in-person participants at arbitration hearings or mediation sessions (hearings).Frequently Asked QuestionsAre face masks required at in-person hearings?In-person participants are not required to wear face masks. However, FINRA recommends that people consider wearing a mask if the
The Observations on Liquidity and Credit Risk Management section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Comments: I strongly support the provision of detailed, useful information about the structure, and past and anticipated future performance of leveraged ETFs, but very much object to limits or prohibitions of individuals' freedom to perform leveraged ETF trades, or to hold onto trades as mid-to long-term investments, especially where a leveraged ETF has a long, documented positive
What types of effective educational interventions have the highest potential to influence the behavior of investors, particularly newer investors? What are the costs of implementing such interventions? A great way to influence newer investors is by informing younger generations via social media platforms. As a young adult, I know that most people (regardless of race or income status) from the age
First of all, stop pretending like Finra doesn't know how corrupt and rigged the Stock Market is especially given the fact that Finra facilitates and encourages such behavior at the expense of the retail investor. Yes, Finra facilitates and encourages such behavior contrary to the statements made on their "About" page which I will provide some examples as proof. 1) Fail-to-deliver
Dear FINRA, as a European citizen and not professionally or directly involved in the US market if not as a retail investor, I don't know how qualified or entitled I am to write to you, but seeing that you make an effort to hear our opinion, and since we can only appreciate this action hoping in constructive and effective changes in the future of the world market, here it goes: I am aware
First of all, stop pretending like Finra doesn't know how corrupt and rigged the Stock Market is especially given the fact that Finra facilitates and encourages such behavior at the expense of the retail investor. Yes, Finra facilitates and encourages such behavior contrary to the statements made on their "About" page which I will provide some examples as proof. 1) Fail-to-deliver
FINRA’s Financial Intelligence Unit (FIU) and Vulnerable Adults and Seniors Team (VAST) are issuing this Threat Intelligence Product (TIP), which provides an overview of FINRA’s observations regarding the vulnerability of senior investors to investment scams, the devastating consequences for the victims and the importance of education about financial scams to prevent initial victimization and re-victimization.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
