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The Regulatory Element provides training on significant rule changes and other regulatory developments relevant to each registration category. Beginning Jan.
This intensive five-day course takes place at Georgetown University's McDonough School of Business in Washington, DC. Taught by Georgetown University business and law school professors, industry professionals, and regulators, this foundational course leverages case studies and interactive discussions to arm participants with a broad understanding of the financial services industry and financial regulations.
Designed for the high-potential executive, the FINRA Institute at Georgetown program provides compliance, legal and regulatory professionals with an in-depth understanding of the foundation, theory and practical application of securities laws and regulation.
The SEC, NASAA and FINRA are jointly issuing this Investor Alert to make investors aware of the increase of investment frauds involving the purported use of artificial intelligence (AI) and other emerging technologies. Bad actors are using the growing popularity and complexity of AI to lure victims into scams. Here are a few things to look out for to help you keep your money safe from these frauds.
Low-priced securities are often known as “microcap stocks” or “penny stocks.” While these securities can be legitimate investments, they’re also high-risk and should be approached with caution by the average investor.
Shell companies—companies that have no or nominal business operations or non-cash assets for an extended period of time—can be used for legitimate purposes. However, they can also be used by fraudsters as vehicles for stock manipulation. Learn the signs of this type of fraud and how to protect yourself.
The ways in which people communicate have changed with advancements in technology, and so have the tactics of “cold calling” boiler rooms. Today’s boiler rooms go beyond the telephone to contact potential investors, including pitching through messaging apps and social media. Regardless of the method of contact, the scammer’s goal and many of the red flags are the same.
FINRA has observed unusual price activity after the IPOs of certain small-cap issuers with operations outside the U.S. Regulators suspect some of these IPOs might have been manipulated in a ramp-and-dump scheme. If you’re solicited to invest in a newly issued small-cap stock, know the warning signs and take precautions.
