Municipal securities dealers and advisors are encouraged to participate in discussions on regulatory challenges and compliance strategies. Registration is now open for the outreach event aimed at enhancing regulatory understanding and practices.
FINRA's 2025 Industry Snapshot impacts registered firms and professionals by providing essential trading data. Compliance teams should review the report for insights into market activity and trends.
The latest FINRA Foundation study indicates a decline in financial capability among U.S. adults, particularly affecting middle-income households. Compliance professionals should assess the implications for financial education and advisory services.
FINRA member firms have elected J. Bradford Eichler and Erin Baskett to its Board of Governors, impacting compliance practices for large and small firms. Firms should stay informed on governance changes and potential regulatory updates.
The FINRA Foundation's Military Spouse Fellowship program empowers military spouses with financial counseling training, impacting military families nationwide. Interested candidates should apply to enhance their career opportunities in financial counseling.
FINRA's new initiative equips member firms with essential knowledge on crypto assets and blockchain technology. Compliance professionals are encouraged to engage with the e-learning program to enhance their understanding and mitigate fraud risks.
FINRA's recent board meeting introduces significant amendments affecting broker-dealers and compliance professionals. Stakeholders must prepare for upcoming regulatory changes and updates in cybersecurity protocols.