Guidance on Blogs and Social Networking Web Sites
Read CEO Robert Cook’s email to firms previewing topics the Board is scheduled to discuss at the September 2024 FINRA Board of Governors Meeting.
By Robert Cook, President and CEO, FINRA. To serve its mission—promoting investor protection, market integrity, and vibrant capital markets—FINRA must continuously improve its regulatory policies and programs to make them more effective and efficient. During my time as CEO, we have worked hard to build a culture of continuous improvement across FINRA—and we have come a long way, including by restructuring departments, building new technology capabilities, improving coordination across different functions, enhancing transparency, and identifying ways to be more risk-focused.
The Trusted Contact Persons topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
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
The premise of having public securities is the amount of available information to make an intelligent and informed decision. Leveraged ETFs come with enough information. There are stocks from other countries listed that do not adhere to standard accounting practices or disclosures. Why target Leveraged ETFs and not the other investments?
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
I am an authorized agent, representative or employee of this subscriber and certify that I am legally authorized to conduct financial transactions related to the registered bank account.
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Executive Summary
The National
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The Securities Industry/Regulatory Council on Continuing Education (the Council), which has advisory and consultative responsibilities for the development
