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Dr. Olivia S. Mitchell’s research into the evolving world of retirement security earned her the 2019 Ketchum Prize, the FINRA Foundation’s highest honor. On this episode, Dr. Mitchell discusses her research and how the way Americans think about and plan for retirement is changing.
FINRA Provides Guidance to Firms Regarding Anti- Money Laundering Program Requirements Under FINRA Rule 3310 Following Adoption of FinCEN’s Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions
If you just got or are expecting a raise, you might be surprised at just how much even a modest salary bump can improve your financial fortunes.
Conflicts of interest represent a recurring challenge that contributes to compliance and supervisory breakdowns. These breakdowns can compromise the quality of service that firms and representatives provide to their clients. We issued the Report on Conflicts of Interest in October 2013, and FINRA continues to monitor the efforts employed by firms to identify, mitigate and manage conflicts of
WASHINGTON—The FINRA Investor Education Foundation today issued a new research report—Financial Fraud and Fraud Susceptibility in the United States—which reveals that over 80 percent of respondents have been solicited to participate in potentially fraudulent schemes, and over 40 percent of those surveyed cannot identify some classic red flags of fraud.
Michael Morris’s research into and advocacy work around the financial security and capability of Americans with disabilities earned him the 2020 Ketchum Prize, the FINRA Foundation’s highest honor. On this episode, we talk to Morris, the founder of the National Disability Institute, about his research and advocacy work and the intersection of race and disability.
This Friday the 13th, you might take some extra precautions to ward off bad luck. But even if you’re not superstitious, it’s worthwhile to consider how to safeguard your financial situation—not just today, but every day. Use these four tips to ward off bad luck when it comes to your finances.
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Customers give registered representatives authority to act on their behalf when they provide authorization to engage in discretionary trading or permit registered representatives to act as trustees or co-trustees, hold Powers of Attorney or serve as executors or beneficiaries. FINRA reminds firms that these roles can expose investors to material risks—e.g., unsuitable or excessive