Financial professionals have a crucial role in protecting elderly clients from financial fraud. NASAA, and FINRA are co-hosting this free webinar that offers practical, actionable strategies to help you identify common elder fraud schemes and learn about the tools available to help prevent and address suspected or detected fraud.This event is open to FINRA member firms only. Participants must
As prepared for delivery.
Good morning.
Money laundering is not a new issue for the securities industry. In fact, it has been listed in every FINRA annual regulatory priorities letter issued over the past 11 years. Many of the issues we've focused on over the years remain areas of focus in 2016. For example, we've addressed risk on many occasions. In 2009, we reminded firms to ensure
<p>All Letters of Caution represent a determination that a violation has occurred, either of an NASD rule or a rule of the Securities and Exchange Commission over which NASD Regulation has jurisdiction to enforce. A Letter of Caution that results from a finding in a disciplinary proceeding initiated under the Rule 9200 Series of the NASD Code of Procedure is a sanction within the meaning of Procedural Rule 8310(a)(6), but a staff-issued Letter of Caution is not a sanction within the meaning of Procedural Rule 8310(a)(6).</p>
<p>For purposes of reporting to TRACE only, a member may enter only <i>bona fide</i> commissions in the "commission" field and may charge a commission only in specified transactions.</p>
Broker/dealer should seek SEC interpretative advice regarding "override" payments to insurance company for securities transactions executed by registered representatives who are associated with both the broker/dealer and the insurance company.
Identity theft occurs when someone obtains your personal information and uses it to take your money or to commit fraud or other crimes. It can devastate your credit rating and derail financial security. Here's how you can protect yourself.
I am John Gannon, Senior Vice President for Investor Education with the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
Use this checklist to safeguard your sensitive information and help keep identity thieves at bay.
When you think of the best work environment in information technology, you probably think of a place where you can do highly advanced work that makes a positive difference. Where the organization values your unique contribution and perspective, and invests in your ability to reach your potential. Where collaboration and innovation are among the core values.You might not think of a securities
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.
