Saving for retirement can be daunting, so it’s no surprise that employer-sponsored retirement plans can be a key stepping-stone into the world of investing—and through your investments, to a healthy retirement nest egg. Don’t have access to an employer-sponsored plan? No problem. Here are 5 ways to start saving today.
1. How do I register for the Financial Professional Gateway (FinPro)?
Use the following steps to register:
Registered individuals access Regulatory Element Continuing Education (CE) via FinPro. Learn more about accessing and completing CE.
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Expand All | Collapse All0100. General Standards1000. Member Application and Associated Person Registration2000. Duties and Conflicts3000. Supervision and Responsibilities Relating to Associated Persons4000. Financial
From Monday, May 20, 2024, through Friday, May 31, 2024, the FINRA Test Facility (NTF) for TRACE Corporate and Agency Debt and TRACE Securitized Products will be modified to limit trade retention to five rolling business days. During that time, trades submitted in the NTF environment will only be available for cancellation or correction through T-5. After T-5 all trades must be reversed
Consumer and/or investor like me should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged people. FINRA shouldn't be playing game or politics here what and where should I invest my money. Please stay off the politics/game here. I want freedom of my investment. I am the one to
Have you ever wondered who protects investors—and how? FINRA, the Financial Industry Regulatory Authority, is a not-for-profit organization authorized under the federal securities laws and registered with the Securities and Exchange Commission (SEC). Alongside the SEC, FINRA oversees U.S. member broker-dealers and their personnel, including individuals who recommend or sell securities products to the public. FINRA’s mission is protecting the investor and ensuring the integrity of our country’s securities markets.
FINRA has commented on the following topics.
As part of its Transparency Services improvement initiative, beginning Monday, September 9, 2024, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system. FINRA encourages client testing participation in this effort to validate that all processes work within the TRACE reporting framework.
Offers from people or organizations who claim they can help you recover money lost from previous fraud can be tempting. But these offers, which want you to pay money up front for the recovery “services,” are almost always fraudulent themselves. Learn to spot fraudulent recovery scams and avoid further losses.
