Before you accept that first post-retirement paycheck, make sure you understand exactly how working after retirement may impact alter your Social Security, pension benefits and other retirement income.
Certified Regulatory and Compliance Professional (CRCP) designees are required to complete 12 hours of continuing education (CE) every three years as of their certificate anniversary award date. Now, you can choose your CRCP CE credits from a wide variety of convenient educational formats, including FINRA developed conferences, e-learning and classroom learning courses, online workshops and webcasts.
FINRA would like to remind member firms of their obligation to file their 3070/Customer Complaints by their required due dates.
Keeping crypto assets safe involves a different set of challenges than keeping your cash, stocks or bonds secure. It’s important to learn about the different ways to store crypto assets.
If you own crypto assets, or are considering doing so, it’s valuable to have at least a basic understanding of blockchain, the technology protocol that powers most cryptocurrencies, including bitcoin and ethereum. Blockchain uses computer code to create, maintain and update information shared by blockchain participants.
Guidance on Donations Due to Federally Declared Major DisastersQ: Would it be consistent with FINRA Rule 3220 (Influencing or Rewarding Employees of Others) for a member or an associated person to donate goods or money (either directly or through a fundraising platform) to employees of an institutional customer for losses sustained due to a federally declared major disaster? NEWA:&
CRCP Designation Usage and Certification MarksPlease refer to the guidelines for using the CRCP® designation and certification marks.CRCP Continuing Education RequirementCRCP graduates are required to complete 12 hours of continuing education (CE) every three years as of their certificate anniversary award date. You can choose your CRCP CE credits from these FINRA-developed conferences
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
SummaryFINRA recognizes that member firms and their personnel have been experiencing significant disruptions to their business operations due to the devastating impact of the California wildfires, which started on January 7, 2025. The wildfires have also had a major impact on customers. For instance, customers may be unable to communicate with their financial professional or receive mail during
