Older Americans are frequently targeted by financial exploitation efforts, making investor protection and education of particular importance to this population. FINRA offers several services, including a dedicated helpline, that can help senior investors with their concerns.
In FINRA staff’s survey of quantum computing use cases, several firms indicated that they are examining how they can benefit from quantum computers when conducting various activities, including trade execution, portfolio management, risk assessments and fraud detection.34 Additional firms indicated to FINRA that they are assessing the potential risk quantum computers may pose to current
SEC Approval and Effective Date for New Consolidated FINRA Rules
<p>Letter addresses circumstances under which persons must report events involving a fixed annuity insurance product.</p>
I M P O R T A N T
Officers * Partners * Proprietors
TO: Members of the National Association of Securities Dealers, Inc. and Other Interested Persons
COMMENT PERIOD CLOSES ON: January 20, 1984
The National Association of Securities Dealers, Inc. ("Association") is publishing for comment a proposed amendment to Schedule C to the By-Laws. The amendment was approved by the Board of
Negative response letters may be used to change the broker-dealer of record for customers' "direct application" mutual fund and variable annuity accounts in situations involving the acquisition or merger of a member firm, where the acquiring or surviving entity is the legal successor-in-interest to the member firm.
Borrowing against your home to invest is always risky, and the potentially high value of these loans can make home equity a prime target for scammers. FINRA has seen an increase in reporting of fraudulent schemes involving home loans taken out for investment purposes. Here are some things to know.
FINRA's suite of more than 80 e-learning courses offers an affordable solution for Firm Element, AML training and other compliance education—developed by FINRA with input from industry experts. Courses cover the following topics and more.
Anti-Money Laundering
Communications With the Public
Ethics
Insurance and Annuities Products
Bulletin Board Designated As "Qualifying Electronic Quotation System"
On December 30, 1992, the Securities and Exchange Commission (SEC) granted the NASD's request for interim designation of the OTC Bulletin Board® service (OTCBB) as a "Qualifying Electronic Quotation System" for purposes of certain penny-stock rules that became effective on January 1, 1993. The SEC
<p>Applicability of NASD Rule 3070 to the operations of a mutual fund and variable product distributor broker/dealer.<br/></p>
