If you plan to move after the military, keep these points in mind when making your housing decisions.
When it became clear that FINRA was going to move to a fully remote work environment in early March, most of the focus was on how to continue conducting business in a fully digital environment. But several functions FINRA performs still require sending materials in the mail to firms and individuals. One example is the Regulatory Review group within Credentialing, Registration, Education and
Divorce can impact all aspects of your life, including your financial responsibilities and goals. But there are ways that can help you better understand—and stay in control of—your investments.
Guidance for Firms Potentially Affected by Hurricane Isaac
Saving for retirement can get complicated for military spouses on the move, but you can still make the most of tax-advantaged retirement savings plans.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to reasonably budgeted Consolidated Audit Trail (“CAT”) costs of the National Market System Plan Governing the Consolidated Audit
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to implement a Consolidated Audit Trail (“CAT”) cost recovery fee designed to permit FINRA to recoup its designated portion of the reasonably budgeted CAT costs of the National Market
Requirements of NASD Rule 2420 to broker/dealer arrangement to pay certain commissions and SEC Rule 12b-1 fees to accounts of various employee benefit plan customers.
FINRA has been on a hiring spree, working to fill scores of open positions. But given that almost all employees are working remotely as a result of the coronavirus outbreak, how are these new hires getting the equipment to start work from home?The solution: “FINRA in a Box.”That’s what staff call the package FINRA sends to new hires, containing a laptop, onboarding instructions, introductory
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
