FINRA Rule Filings
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WASHINGTON – FINRA announced today that it has fined LPL Financial, LLC $2.75 million for complaint-reporting and AML program failures that spanned a period of more than three years.
Board Approves Rule Proposals, Welcomes New Governor and Confirms Committee Appointments
WASHINGTON – FINRA’s Board of Governors met on Sept. 26-27 at FINRA’s offices in New York, where it approved four rule proposals, welcomed a new Governor and made several standing committee appointments.
New research finds millennials lack confidence making investment decisions, cite lack of investment knowledge as barrier to investing, and show limited interest in robo-advisors
WASHINGTON – FINRA announced today that it plans to consolidate its Examination and Risk Monitoring Programs, integrating three separate programs into a single, unified program to drive more effective oversight and greater consistency, eliminate duplication and create a single point of accountability for the examination of firms. The effort is a result of FINRA360, the organization’s ongoing comprehensive self-evaluation and improvement initiative.
WASHINGTON – Today marks the start of World Investor Week 2018, as FINRA and the FINRA Investor Education Foundation (FINRA Foundation) join securities regulators and investor advocates around the globe to raise awareness about the importance of investor education and protection in recognition of the weeklong global campaign.
WASHINGTON – Starting Monday, October 1, FINRA will offer a new qualification exam—the Securities Industry Essentials (SIE)—for prospective candidates seeking to enter or re-enter the securities industry.
The SIE will assess a candidate’s knowledge regarding fundamental securities-related topics, including knowledge of basic products, the structure and function of the securities industry, the regulatory agencies and their functions, and regulated and prohibited practices.
George Washington University Professor Recognized for Outstanding Service and Research to Advance Investor Protection and Financial Capability in the U.S.
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.
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.
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.