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.

2023 Ketchum Prize Awarded to Doug Shadel for Outstanding Service and Research on Protecting Consumers

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 Board of Governors: A Look at the Oversight of the Securities Industry

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.

"Exploring FINRA's Financial Practices and Policies for Investor Protection and Market Integrity"

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 Appoints Bill St. Louis as Head of Enforcement"

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.

Empowering Military Spouses: FINRA Foundation Launches Latest Fellowship Program

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.