• Reg Notice 20-06: We're updating the text of the Securities Exchange Act financial responsibility rules in the Interpretations of Financial and Operational Rules to reflect the effectiveness of a rule change that the SEC adopted. Learn more: Link https://t.co/wH90vg8wn4
    FINRA Tue 25 Feb 2020 21:59
  • Last month, we launched FINRALink—an all-new #alumni portal that connects you with former colleagues and provides access to networking tools and opportunities, recent FINRA news, updates and benefits information. Start making connections today ? Link https://t.co/lPJLWwG5rp
    FINRA Tue 25 Feb 2020 19:53
  • Sometimes life just doesn't go as planned. Here are 6 tips to consider that can help you better understand—and stay in control of—your investments while working through a divorce: Link https://t.co/Bsa8YRYtga
    FINRA Tue 25 Feb 2020 17:03
  • Are you looking to hire a #financialplanner? Here's what you need to know: Link https://t.co/WHWy6UtELq
    FINRA Tue 25 Feb 2020 14:08

    As you seek out a financial professional, you are apt to come across individuals who call themselves financial planners. It's a phrase that encompasses many types of services and skills. Here's what you need to know about financial planners. 

  • We've asked our employees how FINRA has helped them thrive in the workplace. Here's what Anuradha has to say. Link https://t.co/1r8kRvw8fE
    FINRA Tue 25 Feb 2020 00:28
  • Meet Jason ? he shares how FINRA and our #FINRAAfricanAmericanNetwork has helped him develop as a leader. #FINRAFam #IAmALeader #BlackHistoryMonth https://t.co/8nAAJJ0ZQs
    FINRA Mon 24 Feb 2020 18:22
  • Learning personal finance as an adult doesn't have to be scary—in fact, it can be liberating. When you learn how to manage your money, you tend to feel more in control of your life. Link https://t.co/rHmXLCY9QM
    FINRA Mon 24 Feb 2020 17:12

    When you first enter the real world, it can be scary. For all you learned in high school or college, many of us are left feeling unprepared for the responsibilities that come with setting out on your own. This can be particularly true when it comes to managing your finances.

  • Social media can be a useful tool to reach and engage with your customers, directly. Make sure you're referring to FINRA's rules when communicating with these channels ? Link https://t.co/vYU8ngF9VN
    FINRA Mon 24 Feb 2020 14:22
  • RT @FINRAFoundation: #FinFactFriday: Individuals who have emergency savings demonstrate that they are planning ahead for their financial fu…
    FINRA Fri 21 Feb 2020 20:45
  • You probably already know a thing or two about stocks and bonds, but do you know about these other types of #investments? Link https://t.co/c9d4ykyAbi
    FINRA Fri 21 Feb 2020 18:40

    Think of the various types of investments as tools that can help you achieve your financial goals. Each broad investment type—from bank products to stocks and bonds—has its own general set of features, risk factors and ways in which they can be used by investors.

    Learn more about the various types of investments below.

  • If you’re behind in your #retirement savings, one great way to catch up is to contribute more to tax-advantaged plans. Click for more ways to boost your retirement savings ? Link https://t.co/zZEQSJf569
    FINRA Fri 21 Feb 2020 15:09

    When you’re young, it’s easy to fall into the trap of thinking there’s no rush to save for retirement. But before you know it, you may find yourself in your 50s or 60s, and nowhere near your retirement savings goal. 

  • Meet Michelle ? she shares why she is proud to be an ally of our #FINRAAfricanAmericanNetwork. #FINRAFam #IAmALeader #BlackHistoryMonth https://t.co/yZ7w6HtPar
    FINRA Fri 21 Feb 2020 13:29
  • We've released a targeted examination letter on zero commissions. Read more ? Link
    FINRA Thu 20 Feb 2020 19:54
  • It's #LoveYourPetDay! We love our furry friends, but they can be expensive. Start your emergency fund today—you never know when an unexpected vet visit might occur. ?? Link https://t.co/pvgDjmQD2p
    FINRA Thu 20 Feb 2020 16:43

    As you prepare to invest, it's important to set aside some money—about the equivalent of 3 to 6 months' of living expenses—in an emergency fund. There are times when people become ill or are injured in accidents. Employers lay off workers. If something unexpected happens to you, having the money you need to pay the medical bills or see you through the weeks or even months of being out of work will help to keep you out of debt. If you already have investments, an emergency fund also will help you meet your expenses without disrupting your investment plan.

    The best place for your emergency fund is in a liquid (easily accessible) account. A liquid account might be a regular savings account at a bank or credit union that provides some return on your deposit, and from which your funds can still be withdrawn at any time without penalty.

    To earn a slightly higher interest rate, some people choose a certificate of deposit, or CD, for their emergency...

  • Protecting investors means protecting their #data, too. Our Small Firm Cybersecurity Checklist supports small firms in establishing a #cybersecurity program. Get started today: Link
    FINRA Thu 20 Feb 2020 15:13
  • We held our 2020 #Cybersecurity Conference last month, bringing together industry experts to share tips and information about new threats and challenges. Watch highlights from our conference speakers as they share their own real-life cybersecurity stories: Link https://t.co/mXzdJbfGLk
    FINRA Thu 20 Feb 2020 13:53
  • Reg Notice 20-05: We're seeking comment on a proposal to implement the recommendations of the Securities Industry/Regulatory Council on Continuing Education enhancing the continuing education requirements for securities industry professionals. Link https://t.co/C3TgabiMu2
    FINRA Wed 19 Feb 2020 20:43
  • The February Disciplinary Actions report is now available: Link https://t.co/HiDBYPIOp9
    FINRA Wed 19 Feb 2020 19:33
  • Meet Jarvis ? he shares how he chooses to create change. #FINRAFam #IAmALeader #BlackHistoryMonth https://t.co/gdDgeTJtst
    FINRA Wed 19 Feb 2020 18:33
  • Trading on margin may seem like a great way to make more money, but it comes with the risk of steeper losses. Link https://t.co/fx98aNYAXF
    FINRA Wed 19 Feb 2020 14:02

    We are issuing this investor guidance to provide some basic facts to investors about the practice of purchasing securities on margin, and to alert investors to the risks involved with trading securities in a margin account.

  • Special Notice: We're encouraging member firms and other interested parties to become involved with our various committees and Board of Governors this year. Submit your interest today to be considered for future vacancies ? Link https://t.co/5R0RRY7aDZ
    FINRA Tue 18 Feb 2020 20:42
  • It’s important for retail investors to understand the risks—not just the hype—when deciding how and where to invest their hard-earned cash. Learn how our Advertising Regulation Group oversees broker-dealer communications on #FINRAUnscripted ? Link https://t.co/ej1EEFAQsa
    FINRA Tue 18 Feb 2020 19:32
  • Are you considering a #careerchange? The SIE Exam can open doors to the securities industry. Register today: Link https://t.co/EHb3TzcDGQ
    FINRA Tue 18 Feb 2020 18:17

    The Securities Industry Essentials® (SIE®) Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

    Passing the SIE alone does not qualify an individual for registration with a FINRA member firm or to engage in securities business. In order to become registered to engage in securities business, an individual must pass the SIE and a qualification exam appropriate for the type of business the individual will engage in. The individual must be associated with a member firm to take a qualification exam.

  • Are you at risk for #investmentfraud? Our Risk Meter can help you determine if you are a vulnerable target. Link https://t.co/vLr22xc6Gu
    FINRA Tue 18 Feb 2020 16:46
  • Did you know studies show that there is a correlation between your #creditscore and relationship stability? ? Link #ValentinesDay
    FINRA Fri 14 Feb 2020 19:43

    Americans are expected to spend a record $20.7 billion for Valentine's Day gifts and entertainment in 2019, according to a survey sponsored by the National Retail Federation (NRF). This is up from $19.6 billion in 2018. Individual consumers will spend an average of $161.96, up from $143.56 last year, the NRF said, a 13 percent increase.

    Before you go on a spending spree to show your love, try a different tactic this year and get on the same page with your partner about debt. It might just be the key to building a stable and happy future together.

    Here is checklist to help guide the conversation:

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