Setting goals help us meet life’s major objectives, from staying healthy to retiring with a well-feathered nest egg. Investment goals provide structure and purpose to the money we allocate to investment products, such as stocks, bonds and funds.
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,
The FINRA Investor Education Foundation (FINRA Foundation) today awarded Doug Shadel, Ph.D., the 2023 Ketchum Prize—its highest honor—in recognition of his outstanding service and research on protecting consumers, particularly vulnerable Americans.
A Report on FINRA’s Financial Planning and Annual Budget
