On this page you'll find compliance resources on different issues affecting the securities industry. FINRA provides essential background information on each of these key topics, as well as the relevant rules, notices, guidance, news releases, and investor education content for each.Advertising RegulationAlgorithmic TradingAlternative Display Facility (ADF)Annual ReportsAnti-Money
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Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of December 19, 1991, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,673:
Symbol
Company
Entry Date
SOES Execution Level
HDVS
H.D. Vest, Inc.
11/25/91
1000
HDVSW
H.D. Vest, Inc. (CIA
I believe I should be able to trade in any form as anyone else. It is my responsibility to be in control of my own assets, whether that be good or bad for my financial health - it is still my responsibility.
A broker-deal firm’s anti-money laundering efforts may overlap with any number of other regulatory concerns. On this episode, the second in a two-part series, we’re looking at how AML may overlap with a firm’s efforts to protect senior investors from exploitation and fraud.
Lots of naked shorting going on with CLOV - Clover Health Investments. Total market manipulation. It needs to be investigated. Screwing over the average retail investors.
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
1. Which exams can I take online without meeting additional requirements?
Online test delivery is available to candidates with open enrollment windows for the Securities Industry Essentials (SIE) exam. For all other exams, please review the Schedule an Exam page for instructions.
2. What are the criteria to take exams other than the SIE online?
Effective June 9, 2023, the criteria to
Greetings. It is my right to invest my money how I choose. I am a young person with savings that are currently withering away due to inflation. I cant afford a house either. My only option is to invest, and that is by the design of the US governments programs that cause inflation and disincentivize saving cash. So, some of my money is invested in leveraged funds, and I am doing quite well at
I not regulators should be able to choose the public investments that are right for me and your family.
Public investments should be available to all of the public, not just the privileged.
These investments helped me pay my bills when business was down and during health issues.
Katie Kuehns partners with senior leaders to develop FINRA’s strategic talent goals and plans for a range of people-related programs, including talent management, organizational design, and leadership effectiveness.Ms. Kuehns joined FINRA in 2007 and has served in a range of roles responsible for various aspects of Human Resources including Business Partnering, HR Strategy and Total Rewards.Ms.
