FINRA Hires Firm to Conduct Independent Review of Arbitrator Selection Process
WASHINGTON—FINRA announced today that it has hired the Lowenstein Sandler law firm to conduct an…
Economy and Economics
Regulatory Notice 22-05 | FINRA.org
Regulatory Notice 22-05 Summary FINRA has adopted amendments to Rule 2165 (Financial Exploitation of Specified…
Author Releases New Book, “America’s Last Fortress,” Sounding Warning Bell on China’s Growing Interest in Puerto Rico
BublishCharleston, SC, February 10, 2022 –(PR.com)– In his new book, “America’s Last Fortress: Puerto Rico’s Sovereignty,…
FINRA Publishes 2022 Report on Exam and Risk Monitoring Program
Includes Initial Findings From Reg BI Exams; Highlights Emerging and Ongoing Regulatory Topics Washington, D.C….
EM Braxton Universal Report Coins France an Economic Star
EM Braxton UniversalTokyo, Japan, February 04, 2022 –(PR.com)– As the Euro zone plows its way out…
Information Notice 2/1/22 | FINRA.org
Information Notice 2/1/22 Summary FINRA Rule 4111 (Restricted Firm Obligations) became effective on January 1,…
Improveit Expands Window Replacement and Bath Remodeling Services to Lexington, KY
Improveit Home RemodelingColumbus, OH, January 27, 2022 –(PR.com)– Improveit Home Remodeling kicked off 2022 by expanding…
Following the Crowd: Investing and Social Media
With zero commissions on trades and online trading platforms at our fingertips wherever we go,…
Stock Up on Information Before Buying Stock
Nearly one-third of investors view market volatility as an opportunity to purchase more stock at…
It Pays to Pay Attention to Your Brokerage Account Statements
This alert is being issued jointly by FINRA, NASAA and SIPC. How Often Should You…
FINRA Fines Credit Suisse Securities $9 Million for Multiple Operational Failures
WASHINGTON—FINRA announced today that it has fined Credit Suisse Securities $9 million for failing to…
FINRA Announces Final Results of Targeted Examination of Unit Investment Trust Early Rollovers
Settlements Reached with Six Member Firms Resulted in Nearly $17 Million in Restitution to 10,000…
Report from FINRA Board of Governors Meeting – December 2021
Board Approves Rule Proposals and FINRA’s 2022 Budget, Appoints SFAC and NAC Members WASHINGTON –…
Regulatory Notice 22-04 | FINRA.org
Regulatory Notice 22-04 Summary In light of the increasingly automated markets for NMS stocks, FINRA…
Regulatory Notice 22-03 | FINRA.org
Regulatory Notice 22-03 Summary FINRA has adopted amendments to its rules to clarify the application…
Regulatory Notice 22-02 | FINRA.org
Regulatory Notice 22-02 Summary FINRA has amended, with immediate effectiveness, the provisions of FINRA Rule…
