On the latest episode of #FINRAUnscripted, Kerry Gendron, Member Supervision's new head of Data Analytics & Technology, shares how we are augmenting our examination and risk monitoring program and teaching our employees the art of the possible. ?? Link https://t.co/HudbSDbYwT
FINRA Tue 15 Sep 2020 19:30- RT @_workingmother_: Congratulations to @FINRA for being named a 2020 Working Mother 100 Best Company and a 2020 Best Company for Dads! #WM… FINRA Tue 15 Sep 2020 16:40
Mentoring is extremely important at the not-for-profit, including group, peer-to-peer and leader-to-staff. In January 2019, a mentor/mentee campaign featured mentoring pairs of employee-resource-group sponsors and mentors, as well as a C-suite executive champion to encourage staff to leverage the enterprisewide mentoring tool “Employee Driven Relationships, Insights, Values and Enhanced Networks.”
The Securities Industry Essentials® (SIE®) Exam is a 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.
The SIE is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to prospective employers. Association with a firm is not required to take the SIE, and results are valid for four years.
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...
- Join us starting September 21 for our 2020 Diversity Summit Week! Reimagined as a virtual, week-long learning series—hear from staff experts and beyond as they focus on the importance of embracing #diversity, equity and #inclusion. Register today ?? Link https://t.co/uFMhLTqs0b FINRA Mon 14 Sep 2020 17:59
- In light of #COVID19, we recently launched an online testing service for candidates. The concept of remote examinations may lead you to ask, “What happens if a person is caught cheating on a FINRA-administered exam?” The answer: Read on to find out ?? Link https://t.co/k5HvllwgcY FINRA Mon 14 Sep 2020 16:24
- RT @FINRAFoundation: #FinFactFriday: Only a third of Americans currently have a will, while 63% say they do not. Learn more from our 2018 #… FINRA Fri 11 Sep 2020 20:17
When financial markets experience turbulence, Wall Street employs a jargon all its own to describe important elements of tough, uncertain times. Here's a look at some of the most common terms and what they mean.
Senior Citizen’s Day, which is August 21, gives us the opportunity to pay tribute to the many contributions seniors make to their communities—and to bring awareness to issues of particular importance to America’s older citizens.
- Today, we observe the September 11th National Day of Service and Remembrance by commencing our seventh annual Volunteer Service Period. This year, volunteering will look a little different, but working to enrich the communities where we live and work is more important than ever. https://t.co/r7f7nK8Uvu FINRA Fri 11 Sep 2020 16:21
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
- At FINRA, Technology has a seat at the table. When significant opportunities and critical challenges are discussed, the Tech team is there, playing an integral role in creating solutions. Learn more about what it's like to work at @FINRA_Tech on @TheMuse: Link https://t.co/nMMBX2BjbN FINRA Wed 09 Sep 2020 19:50
- Join our staff while they share helpful tips on complying with FINRA Rule 2210, Communications with the Public when creating, reviewing, approving, distributing or using retail communications concerning private placement offerings. Watch the panel here ? Link https://t.co/533AGX2frD FINRA Wed 09 Sep 2020 15:19
What's a well-known investment vehicle that's attracted hard-earned money for more than four decades? Here's a hint: It's all about retirement.
Individual retirement accounts, or IRAs, account for a significant portion of Americans' retirement savings.
If you're interested in opening an IRA account, here's what you should know.
- This week, our Board of Governors will meet virtually for its September 2020 meeting—the first since Eileen Murray became Chairperson, and the first for newly elected Governor Wendy Lanton and recently appointed Governors Maureen Jensen and Eric Noll. ?? Link https://t.co/KwIPjyatim FINRA Tue 08 Sep 2020 18:48
- Due to the increase in demand for virtual arbitration and mediation hearings, our Dispute Resolution Services provides videoconferencing via Zoom. We now offer a resource guide and a series of training videos to help arbitrators. Learn more ?? Link https://t.co/h95y2UOlsj FINRA Tue 08 Sep 2020 13:48
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