FINRA Board Approves Rule Proposal and Receives Briefing on Examinations and Investigations

FINRA's Board of Governors met to discuss rule proposals, receive updates on examinations and investigations, and continue discussions on long-term financial planning, including a meeting with SEC officials on issues related to the securities industry and capital markets.

Introducing FINRA's Investment Committee Members and Board Governors

Financial industry leaders Eric Noll, Robert Cook, and Naureen Hassan are joined by public governors Derrick Roman and Gus Sauter to form FINRA's Investment Committee Board of Governors, overseeing the organization's business in North America.

FINRA Foundation Announces Three New Members to Board of Directors, Including Executive Vice President Jonathan Sokobin as Chair

The FINRA Foundation appoints three new members, including Jonathan Sokobin as Chair, to its Board of Directors to oversee financial education and investor protection efforts.

FINRA Releases 2024 Annual Regulatory Oversight Report: Covering New Topics Such as Crypto Assets and Enhanced Industry Risks for Firms to Consider

The 2024 FINRA Annual Regulatory Oversight Report covers new topics including crypto asset developments, anti-money laundering and fraud, Reg BI and Form CRS, and consolidated audit trail.

FINRA's Board Approves Rule Proposals and 2024 Budget, Appoints New Members, and Previews Annual Regulatory Oversight Report at December Meeting

FINRA's December 2019 Board of Governors meeting addressed key rule proposals, budget planning, and appointment updates, and previewed the upcoming Annual Regulatory Oversight Report, which provides insights for member firms to strengthen compliance programs.

Compliance Outreach Program for Municipal Advisors: A Unified Approach from SEC, MSRB, and FINRA

The SEC, MSRB and FINRA have partnered to offer a virtual Compliance Outreach Program for Municipal Advisors in 2023, allowing municipal market participants to receive direct information from regulators on applicable rules and enforcement priorities.

SECOND CHANCE: Take Advantage of FINRA's MQP Enrollment Period!

FINRA's MQP program provides people with terminated FINRA registrations the option to maintain their qualifications for up to five years by completing annual continuing education (CE) requirements, and has given over 900 individuals the opportunity to re-enter the industry.