• Women are becoming more confident in their financial knowledge. 53% of married millennial women rated themselves as the most financially knowledgeable person in their household, an increase of 13% over previous generations: Link https://t.co/GsMZyabMD1
    FINRA Wed 18 Sep 2019 15:55
  • Think you know how #millennials invest? Fact check yourself with this 2018 research study conducted in partnership with the @FINRAFoundation and @CFAinstitute: Link https://t.co/rMN1rQdGds
    FINRA Wed 18 Sep 2019 14:15

    Many millennials do not invest, which can hinder their ability to achieve important goals, like purchasing a home or retiring comfortably. Beyond income constraints, what barriers, perceived or real, prevent millennials from owning investment accounts? Do millennials’ views on investing differ from Gen Xers and baby boomers? Within the millennial generation, are there significant demographic differences in investing behaviors and attitudes? How do millennials view the financial services industry and financial professionals? And what do millennials think about emerging financial technologies, like robo-advisors? 

    These and other questions are addressed in a 2018 research study published by the FINRA Foundation and CFA Institute:

  • Did you know FINRA provides a number of tools, templates, checklists and other resources for small firms (those with 150 or fewer registered representatives)? Link https://t.co/26TpD28tzk
    FINRA Tue 17 Sep 2019 20:24

    FINRA has created this page to provide information for the small firm community—those firms with 150 or fewer registered representatives. This page contains current and past communications, links of interest to small firms, and other information.

  • How vulnerable are you to investment #fraud? Take this 12 question quiz to find out now: Link https://t.co/YOek6wBvNC
    FINRA Tue 17 Sep 2019 19:14
  • RT @TheMuseJobs: ? Interested in business and technology? @FINRA is hiring a Senior Data Engineer to work on various projects alongside the…
    FINRA Tue 17 Sep 2019 18:59
  • It’s easy for any company to get caught up in the status quo, too busy focusing on the challenges of today to anticipate the challenges of tomorrow. Don't miss the latest episode of #FINRAUnscripted to learn how FINRA's Createathon aims to prevent that. Link https://t.co/uf4S2gAvBM
    FINRA Tue 17 Sep 2019 16:59
  • FINRA's Fund Analyzer can help you sort through and compare more than 30,000 mutual funds, ETFs, ETNs and money market funds. It does the math for you to show how fees and expenses can impact the value of your investments over time. Link https://t.co/K4yzouATIv
    FINRA Tue 17 Sep 2019 14:19
  • It's important to know what you want to accomplish with your investments before you actually invest. Visit our website to learn how to set goals, get a handle on your cash flow, control spending, manage debt and get on the path to saving and investing. Link https://t.co/tkeI2riKoz
    FINRA Mon 16 Sep 2019 19:43

    It's important to know what you want to accomplish with your investments before you actually invest. Learn how to set your financial goals, get a handle on your cash flow, control spending, manage debt, and get on the path to saving and investing.

  • From Ireland to Malta to Columbia, foreign markets are global, so too must be FINRA’s presence. Don't miss the latest episode of the #FINRAUnscripted podcast to hear from Gloria Dalton, FINRA's ambassador abroad. Link https://t.co/28LVJyG1ST
    FINRA Mon 16 Sep 2019 17:13
  • To exchange or not to exchange, that is the question. And it can be a tough one to answer when you are looking at something as complicated as a variable annuity. Link https://t.co/nHbGQUquTL
    FINRA Mon 16 Sep 2019 15:03

    Perhaps you spoke with an investment professional about an existing variable annuity (VA) you own, and the possibility of exchanging your current VA with a new one came up. Before you rush into an exchange, be aware that replacing one VA with another involves a comparison of the complex features of each security.

    As with so many decisions in life, there can be good reasons to consider an exchange—and there can be situations where an exchange is generally not a good idea. We'll help you sort through both scenarios. In any case, you should exchange your annuity only when it is better for you, and not just better for the person trying to sell you a new annuity.

  • Just in: We have fined J.P. Morgan Securities $1.1 million for failing to timely disclose 89 internal reviews or allegations of misconduct by its reps or associated persons over a six-year period. Link https://t.co/IrAYYtotDK
    FINRA Mon 16 Sep 2019 13:58
  • A good reminder to always check before you invest. Link Link
    FINRA Fri 13 Sep 2019 20:00

    You can add location information to your Tweets, such as your city or precise location, from the web and via third-party applications. You always have the option to delete your Tweet location history. Learn more

  • Just in: Regulatory Notice 19-29: SEC Approves Amendments to Expand Published Data Relating to OTC Equity Trading Volume. Read the full notice here: Link https://t.co/p0TDR7UVQN
    FINRA Fri 13 Sep 2019 18:40
  • Knowing these key concepts can help demystify the field if you are an #investing newbie: Link https://t.co/hrNaTcmNRl
    FINRA Fri 13 Sep 2019 17:50

    To assess how well your investments are doing, you'll need to consider several different ways of measuring performance. The measures you choose will depend on the information you're looking for and the types of investments you own. Learn more.

  • RT @HISecurities: Aloha Hilo! We are with AARP & FINRA Hawaii Top Frauds Seminar. We are here sharing great information with our Big Island…
    FINRA Fri 13 Sep 2019 13:50
  • RT @BBBindy: As Halloween gets closer, our partners at @FINRA warn against creepy investments scams. #DontScamMe #InvestmentScams https://…
    FINRA Fri 13 Sep 2019 12:50
  • Tomorrow is #FridayThe13th! Learn how to avoid bad financial luck with these 4 tips: Link https://t.co/Ka0gXKkdms
    FINRA Thu 12 Sep 2019 18:29

    This Friday the 13th, you might be taking some extra precautions to ward off bad luck, perhaps carrying around your rabbit's foot or other good luck charm. But how about taking some extra precautions when it comes to your financial situation?

  • RT @HISecurities: We are on the Windward side today exhibiting a resource table at the the AARP & FINRA Top Frauds Seminar! Our friends fro…
    FINRA Thu 12 Sep 2019 13:38
  • ASK FINRA! We are listening! #FINRAIC https://t.co/uRV93GuE2f
    FINRA Wed 11 Sep 2019 19:37
  • "We encourage you to refer to Regulatory Notice 19-18: a one-stop shop to see if there are any red flags listed that are applicable to your business." -Jason Foye, speaking at the #FINRAIC Link https://t.co/SL2m9jrqmv
    FINRA Wed 11 Sep 2019 18:02

    FINRA is issuing this Notice to provide guidance to member firms regarding suspicious activity monitoring and reporting obligations under FINRA Rule 3310 (Anti-Money Laundering Compliance Program).

    Questions concerning this Notice should be directed to:

  • "Not being stagnant in the #AML space is really important whether you're a small or large firm." - Jason Foye, Director of FINRA's AML Investigative Unit on the importance of firms tailoring and tuning their AML systems. #FINRAIC https://t.co/CzMFEkR4vQ
    FINRA Wed 11 Sep 2019 17:42
  • More from our Institutional Conference in New York today: "Not being stagnant in the AML space is really important whether you're a small or large firm." - Jason Foye, Director of the FINRA #AML Investigative Unit #FINRAIC https://t.co/UqulfPjzF3
    FINRA Wed 11 Sep 2019 17:17
  • At today's #FINRAIC, CEO Robert Cook mentioned our Office of Financial #Innovation. https://t.co/MtEmkhsIag
    FINRA Wed 11 Sep 2019 16:47
  • More from Robert Cook at today's #FINRAIC: “We are making great progress on the Exam Transformation and expect to implement the major changes as part of our 2020 exam program.”
    FINRA Wed 11 Sep 2019 16:02
  • “We have been focusing on compliance tools we can help deliver to member firms.” -Robert Cook, at today's #FINRAIC in New York
    FINRA Wed 11 Sep 2019 15:32
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