• Join tomorrow's webinar at 3 p.m. ET to learn about FINRA and @NASAA’s newly-announced online testing service for candidates seeking to take qualification exams remotely. Register here ?? Link
    FINRA Mon 27 Jul 2020 20:38
  • New Virtual Conference Panel: Join our staff while they share their insights on the importance of ensuring that #diversity and #inclusion remain a key commitment to firms in the financial services industry. Our panels are open to everyone! Watch here ? Link https://t.co/6XhTGRwzvk
    FINRA Mon 27 Jul 2020 18:38
  • When it comes to financial accounts, security experts agree that you should avoid basing your passwords on personal data. Check out more tips for creating a better password ? Link #BeCyberSmart #CyberSecurity https://t.co/8ZH994wUBx
    FINRA Mon 27 Jul 2020 17:18

    How strong is your password, really? Do you use the same one on a number of accounts? Or refer to your dog Fluffy in all of them? Chances are some or all of your login codes could use a change.

    Our passwords are a key component of our lives, and as more of the services we rely on every day move online, the stakes grow ever higher. Here are 7 tips to improve your passwords—and your security online.

  • Are you considering a job in finance? Or are you already a registered broker? We have the tools to help you manage your #career, every step of the way ? Link https://t.co/X8fTu39PZ6
    FINRA Fri 24 Jul 2020 18:25

    Throughout your securities industry career, FINRA, other regulatory organizations and your employer collect and maintain a variety of information. Learn about all phases of your career in the securities industry, from considering becoming registered to taking exams to obligations when you leave the industry.

  • We have been working with @NASAA to deliver an online testing service for candidates seeking to take qualification exams remotely. As of July 13, candidates and firms could start scheduling online test appointments for specific exams. Learn more ?? Link https://t.co/VozE8H44Z7
    FINRA Fri 24 Jul 2020 17:25
  • 46% of Americans have set aside 3 months of living expenses ? for a rainy day ??. Are you one of them? If not, learn how to start building your #emergencyfund here: Link https://t.co/FHMmrdjqqQ
    FINRA Fri 24 Jul 2020 13:40

    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...

  • As part of the memorial gathering we hosted last week to celebrate the life of our friend and colleague Tom Gira, EVP of Market Regulation, our CEO Robert Cook revealed FINRA's plan to further commemorate his legacy. ?? Link https://t.co/AlWPZ2btH9
    FINRA Thu 23 Jul 2020 21:10

    Last week we held a virtual memorial service to pay tribute to the life and legacy of our friend and colleague Tom Gira. Many voices from FINRA and across the securities industry and regulatory community described Tom's tremendous contributions to our markets and the wonderful personal qualities for which he will always be fondly remembered. To further honor and memorialize Tom's legacy, the building at our Rockville campus where Tom had his principal office will henceforth be known as the Thomas R. Gira Building. I look forward to the day when the FINRA community can gather in person to formally commemorate this building in Tom's name.

  • During this time, we are hiring and onboarding remotely! Check out available opportunities here ? Link Link
    FINRA Thu 23 Jul 2020 19:24

    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

  • Technical Notice: As issued in our April 28 notice, "Introduction to Transparency Services Initiatives and Webpage", we're retiring the current FINRA New Issue Form and replacing it with an updated submission platform. It's expected to go live on Sept. 28. Link
    FINRA Thu 23 Jul 2020 16:34
  • Stephen Mack of Mack Investment Securities, Inc. talks about his small firm approach to #RegBI and Form CRS. Hear more from our "Reg BI and Form CRS: Where Are We Now" virtual conference panelists ?? Link https://t.co/3wB3oYQZuE
    FINRA Thu 23 Jul 2020 13:44
  • Watch to see why Jessica enjoys working at FINRA. We remain fully operational and are continuing to hire and onboard new employees remotely. Apply today ? Link https://t.co/isd43GANDu
    FINRA Wed 22 Jul 2020 20:54
  • 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. Learn more ? Link https://t.co/3UNwOn1keu
    FINRA Wed 22 Jul 2020 17:23

    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.

  • Election Notice: We will conduct our Annual Meeting of firms on Friday, August 7, to elect one small firm seat and one large firm seat to our Board of Governors. Firms that are FINRA members by COB Tuesday, July 7, are eligible to vote. Learn more ?? Link https://t.co/ZMebribdoF
    FINRA Wed 22 Jul 2020 15:23
  • Stay in touch with other FINRA alumni by joining FINRALink—our alumni portal that gives access to networking tools and opportunities, recent news and benefits info. Start making connections today! Register here ? Link https://t.co/11O0a2YpvT
    FINRA Wed 22 Jul 2020 12:28
  • Reg Notice 20-25: We have amended our Codes of Arbitration Procedure for Customer and Industry Disputes to apply minimum fees to requests for expungement of customer dispute information. Effective Date: September 14, 2020 ?? Link https://t.co/ebrwBrdZtM
    FINRA Tue 21 Jul 2020 22:08
  • We're hosting a Small Firm Conference Call ? next week on July 29 at 4:30 p.m. ET for updates on remote work environments, retail communications, and more. It's open to all FINRA member firms. Register here to join the discussion ? Link
    FINRA Tue 21 Jul 2020 20:38

    Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Conference Call, a free series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices. 

  • With the cancellation of our 2020 Annual Conference and other in-person events, we've gone virtual with on-demand conference panels. The latest #FINRAUnscripted drops in on our newest panel with Robert Cook and staff as they discuss current issues. ?? Link https://t.co/31wKhT1Rtx
    FINRA Tue 21 Jul 2020 16:02
  • Are you recently retired? Have you experienced a major life event that has affected your finances? Are you just starting to invest? A qualified investment professional can help you make sound investment decisions. Find the right one for you ? Link https://t.co/zypvR9HRtm
    FINRA Tue 21 Jul 2020 13:52

    A qualified investment professional can help you make sound investment decisions. Investment professionals include registered financial professionals, also known as registered representatives or stockbrokers, investment advisers and financial planners. The person or team of professionals you work with will depend on the type of financial help you seek. When you choose an investment professional, it always pays to Ask and Check.

  • If you’re behind in your #retirement savings, one great way to catch up is to contribute more to tax-advantaged plans. Read for more ways to boost your retirement savings ? Link https://t.co/uyQSlCZvfm
    FINRA Mon 20 Jul 2020 19:46

    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. 

  • Registration is open for the 2021 FINRA Institute at Georgetown CRCP program! Take advantage of our new tuition rates to further your career and increase your knowledge about complicated compliance laws and cutting edge regulatory issues. Learn more ?? Link https://t.co/o83fvXW4XD
    FINRA Mon 20 Jul 2020 18:31
  • In the last two years, we have barred more than 730 brokers and associated persons. What was the most prevalent rule violation that resulted in these bars? Click here to learn more from Jessica Hopper, our EVP & Head of Enforcement ?? Link https://t.co/upCZ1trCTC
    FINRA Mon 20 Jul 2020 16:06
  • Tough-to-crack passwords should be at least 12 characters and unrelated to any of your prior passwords. Check out more tips on how to stay safer and more secure online ? Link #CyberSecurity https://t.co/MlrHIo155J
    FINRA Mon 20 Jul 2020 14:46

    These days, so much of our lives happen online. Email is more common than snail mail. Americans are just about as likely to shop online as at a brick-and-mortar store. And more than half of all bills are paid online.

  • Use these tips to give your savings a boost today ? Link Link
    FINRA Fri 17 Jul 2020 20:04

    Do you have trouble finding cash to set aside in your savings account? You're not alone. Just two out of five American households report "good or excellent progress in meeting their savings needs," according to a recent survey by America Saves Week.

    Fortunately, there are simple ways to boost your savings. Here are six ideas to get you started.

    1. Set Up Automatic Contributions to Your Savings Accounts

    A critical part of a successful savings strategy is actually putting your money into an account where it can accumulate, and there’s no better way to pay yourself first than to automate your savings.

    In employer-sponsored 401(k) plans, contributions are often made automatically whenever an employee is paid, but you can easily automate contributions to your other accounts. Banks and financial firms allow consumers to schedule regular money transfers to a savings or money market account.

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    You can add location...

  • Need help keeping track of #compliance deadlines and events? Check out our Compliance Calendar for firms ? Link https://t.co/F2Lt7haSzD
    FINRA Fri 17 Jul 2020 18:04

    This information is provided as a convenience to firms and may not be a complete listing of all of a firm's regulatory and compliance filing requirements. Firms must do their own due diligence to ensure that they comply with all of their regulatory and filing requirements and their reliance on this report does not create a safe harbor from a firm's regulatory responsibilities.

  • Wouldn't it be nice if there were a tool that could give you the most important facts about a particular bond in an easy-to-digest package? We've got you covered. Check out Link for essential info on any bond you are considering purchasing. https://t.co/QW1GRXd2SY
    FINRA Fri 17 Jul 2020 14:24
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