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.
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.
The FINRA Investor Education Foundation has awarded Doug Shadel the 2023 Ketchum Prize in recognition of his 30 years of service protecting consumers, particularly vulnerable Americans.
FINRA is overseen by a 21-member Board of Governors, with the majority coming from outside the securities industry and appointed/elected to three-year terms.
The FINRA Board and CEO provided an update on the current financial projections, mission of protecting investors, and budgeting for market integrity, while encouraging vibrant capital markets.
FINRA has appointed Bill St. Louis as its new Head of Enforcement, while also recognizing Christopher J. Kelly's contributions to FINRA during the transition period.
The FINRA Foundation Fellowship Program equips military spouses with the training necessary to become financial counselors, helping military families and service members achieve their financial goals.