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George Washington University Professor Recognized for Outstanding Service and Research to Advance Investor Protection and Financial Capability in the U.S.

Posted: September 20, 2018, 4:00 am

WASHINGTON – FINRA today issued an Investor Alert warning investors to beware of potential investment scams touting stocks and other investments promising huge financial gains in the wake of Hurricane Florence.

The Investor Alert, Beware of Stock Fraud in the Wake of Hurricane Florence, explains how investors can spot and protect themselves from investment scams associated with the clean-up or rebuilding of devastated areas.

Posted: September 19, 2018, 4:00 am

First Disciplinary Action by FINRA Involving Cryptocurrencies

WASHINGTON – FINRA announced today that it filed a complaint against Timothy Tilton Ayre of Agawam, Massachusetts, charging him with securities fraud and the unlawful distribution of an unregistered cryptocurrency security called HempCoin. This case represents FINRA’s first disciplinary action involving cryptocurrencies.

Posted: September 11, 2018, 4:00 am

Identifies Key Areas of Innovation, Benefits, Risks and Regulatory Consideration

WASHINGTON – FINRA today released a white paper outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.

Posted: September 10, 2018, 4:00 am

WASHINGTON – The Securities Industry/Regulatory Council on Continuing Education (CE Council) is seeking comment on enhancements under consideration for the continuing education requirements for registered persons.

Posted: September 6, 2018, 4:00 am

WASHINGTON – FINRA announced today the election of three Governors to its Board of Governors:

Posted: August 28, 2018, 4:00 am

WASHINGTON – FINRA announced today that it has fined Interactive Brokers LLC (Interactive) $5.5 million for Regulation SHO violations and supervisory failures spanning a period of at least three years.

Posted: August 20, 2018, 4:00 am

Statistical Overview of Brokerage Firms, Registered Individuals and Trading Activity

WASHINGTON—FINRA today published the FINRA Industry Snapshot 2018, its first annual statistical report on the brokerage firms, registered individuals and market activity that FINRA regulates.

Posted: August 9, 2018, 4:00 am

WASHINGTON — Fifty military spouses living in the United States and abroad will have an opportunity to earn the Accredited Financial Counselor® (AFC®) designation to offer one-on-one financial and group counseling and education to service members and their families.

Posted: August 6, 2018, 4:00 am

WASHINGTON — FINRA today issued a Special Notice seeking comment on how it can support financial technology (fintech) innovation consistent with its mission of investor protection and market integrity.

Posted: July 30, 2018, 4:00 am
 

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