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Here's some good news for our nation's veterans and those who care about their welfare. The financial well-being of U.S. military veterans has improved in recent years, outpacing the gains of non-veterans, according to new research by the FINRA Investor Education Foundation. Veterans, overall, reported having less difficulty covering their expenses and bills, had a lower likelihood of experiencing an income drop and were more likely to have an emergency fund, according to the survey of more than 3,000 veterans and more than 20,000 non-veterans.
Study Highlights Grim Financial Challenges and Gender Disparities
WASHINGTON, D.C.–New research from the FINRA Investor Education Foundation offers insights into the financial knowledge and habits of incarcerated women across multiple measures of financial capability and literacy, exposing the deep financial challenges facing women in prisons.
The study, Gender and Financial Capability from
Arbitrators often ask for guidance in drafting appropriate expungement language. To help arbitrators with expungement orders, you will find examples of the relevant portions of written explanations in awards ordering expungement under each of the three standards in Rule 2080 (with the names of the parties redacted).
This episode originally aired in August 2018. In this episode, we hear from FINRA's Chief Economist and Office of General Counsel to learn how FINRA rules are made and reviewed through the FINRA Retrospective Rule Review process.
Washington, DC – The Financial Industry Regulatory Authority (FINRA) announced today that two new large-firm representatives have been elected to its Board of Governors, while a third new member has been appointed to its Independent Dealer/Insurance Affiliate seat.
Beginning June 9, 2023, candidates will need an approved accommodation to schedule an online appointment for an NFA or FINRA exam (other than the SIE). Online appointments scheduled to be taken after Sept. 9, 2023, will be canceled if the candidate does not have an approved accommodation.
Learn more in the How to Schedule an Appointment to Take Exams Online (Remotely) section of the Schedule
Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list. Please refer to Regulatory Notice 17-30 and FINRA Rule 1220 for further details.
Series 4 - Registered Options Principal Examination (OP)
Covered activities include supervising a member's options
(a) Definitions
(1) For purposes of this Rule, the term “Specified Adult” shall mean: (A) a natural person age 65 and older; or (B) a natural person age 18 and older who the member reasonably believes has a mental or physical impairment that renders the individual unable to protect his or her own interests.
(2) For purposes of this Rule, the term “Account” shall mean any account of a member for
Remarks From Baruch College’s Financial Markets Conference