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From cryptocurrency to SPACs and other options beyond your 401(k), choosing the right investments to meet your financial goals can feel overwhelming.
The Outside Business Activities and Private Securities Transactions 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.
Investing in real estate can be a good way to diversify your assets. But if you don’t want the responsibilities that come with ownership, real estate investment trusts (REITS) and other products can provide exposure to real estate without requiring you to actually buy or sell property.
A broker-deal firm’s anti-money laundering efforts may overlap with any number of other regulatory concerns. On this episode, the second in a two-part series, we’re looking at how AML may overlap with a firm’s efforts to protect senior investors from exploitation and fraud.
On August 26, 2020, FINRA President and CEO, Robert Cook, the head of FINRA’s Office of Investor Education, Gerri Walsh, and special guests U.S. Senator Catherine Cortez Masto and Nevada Securities Administrator Erin Houston came together online to discuss key considerations for investing in the age of COVID-19. They discussed how to avoid fraud and other scams, common investing pitfalls, and how state and federal regulators can be a resource for investors.
Disagreement over money is a common source of tension for couples and an oft cited reason of divorce. Fortunately, there are things couples can do to bridge the investment style gap and keep the peace. Here are four tips to help you keep the harmoney in your relationship.
FINRA's Risk Monitoring team is responsible for assessing financial, operational and business conduct risks that exist within individual member firms and across the industry. But they're also the day-to-day point of contact for firms for any questions they may have for FINRA. On this episode, we hear how they spot and track risks across similar firms.
In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, the first in a three-part series, we learn more about the strategy and the role of the Hub.
FINRA Continues Nationwide Initiative Investigating Broker-Dealers Engaged in Private Placements
Broker-dealers are offering clients a way to invest in hot, venture capital-backed companies long before their IPO through forward purchase agreements.