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FINRA’s Member Relations & Education team is responsible for ensuring FINRA's regulatory programs are working for everyone and for maintaining a strong relationship with FINRA's member firms. But with a new group head looking back on an unprecedented year, the Member Relations & Education team is reimaging the future of member engagement.
Nagengast Elected to Fill One of Three Large-Firm Seats on FINRA Board
WASHINGTON – FINRA announced the results of voting by its large firm members that took place at its Special Meeting on June 28 to elect one Large-Firm Governor to the FINRA Board of Governors. Jim Nagengast, Chief Executive Officer (CEO) of Securities America Financial Corporation Inc. and President of Securities America Inc
Washington, D.C. — The FINRA Investor Education Foundation has awarded a grant of $484,000 to the University of California, Los Angeles (UCLA) to explore how individual investors are managing the risk of outliving their retirement savings, and how annuities could provide a solution to the problem.Formerly known as the NASD Investor Education Foundation, the FINRA Investor Education Foundation was
Washington, D.C. — The FINRA Investor Education Foundation has awarded a grant of $324,125 to the University of Central Florida to analyze how well investors understand the disclosure information presented with financial products—and how to make that information more meaningful to both retail and institutional investors.Formerly known as the NASD Investor Education Foundation, the FINRA Investor
How many Americans participate in the gig economy? Do you regret paying what you did for college? Would you avoid a medical service due to its cost? The new FINRA Foundation Financial Capability Study asked these questions and more to get a pulse on recent changes to American financial capability and well-being.
The National Center for Victims of Crime and the FINRA Investor Education Foundation have released Taking Action: An Advocate's Guide to Assisting Victims of Financial Fraud to provide those who serve the more than 30 million Americans who are victims of financial fraud every year with an important new tool to aid their clients.
Thank you for the opportunity to appear today to discuss the important work that the Financial Industry Regulatory Authority, or FINRA, is doing to fulfill our mission under the federal securities laws to protect investors and safeguard market integrity while facilitating vibrant capital markets.
FINRA hosted the virtual AI Conference to bring together regulators and leaders across the financial services industry to discuss the use of artificial intelligence and related opportunities and challenges. On this episode, we hear about the current and future state of AI from three industry leaders.
FINRA’s ombudsman is a neutral party that acts as an impartial, confidential and independent resource to assist in finding solutions to issues or concerns an individual may have with FINRA. On this episode, we talk to FINRA’s Ombudsman to hear she works to prevent real or perceived conflicts of interest.