• Protecting investors means protecting their #data, too. Our Small Firm Cybersecurity Checklist supports small firms in establishing a #cybersecurity program. Get started today: Link https://t.co/n6VPtRi3CW
    FINRA Wed 17 Jun 2020 19:17
  • Our FINRA #Pride Alliance recently had Shelley Eisenberg, M.A., give a presentation on the unique issues of LGBTQ folks in the workplace, the psychological impact of possessing a minority identity, and more. Thank you for helping us push for positive change in the workplace! https://t.co/L8GnuEa90m
    FINRA Wed 17 Jun 2020 14:47
  • Attend the Leveraging FinPro and FIND Webinar tomorrow at 2 p.m. ET. Learn how firms can use FinPro to support onboarding practices, including how to transition recruits from FIND to FinPro. Learn more about FIND ?? Link Register ? FINRA Wed 17 Jun 2020 13:31
  • In response to #COVID19, some states and localities have issued workplace restrictions. To aid member firms, we have a list of state orders of which we are aware. Follow for updates ? Link
    FINRA Tue 16 Jun 2020 22:01
  • Join our panelists from the @FINRAFoundation, @rushalzheimers, and @IUMedSchool for a discussion of emerging research on social distancing's impact on older investors and steps you can take to further protect your clients. Watch here ? Link https://t.co/zE5JLvoA1v
    FINRA Tue 16 Jun 2020 15:41
  • Our Office of Financial Innovation released a report reviewing the use of #AI in the securities industry, including the varied applications of the technology, their associated challenges, and the steps taken by broker-dealers to address those challenges. Link https://t.co/zt9bZzGvdJ
    FINRA Tue 16 Jun 2020 14:36
  • Did you know you can #invest with just pennies? Learn how starting small is made possible through a growing trend called micro investing: Link https://t.co/IgHGo4QAcb
    FINRA Tue 16 Jun 2020 12:40

    Investing is not reserved for those with lots of extra cash or connections to a financial professional. Anyone can invest, and you don't need much to get started. In fact, pennies will do just fine.

    How, you ask? An increasingly popular way is through a growing trend, helped by the latest in app technology, called micro investing.

    As the name implies, micro investing allows you to invest money in small amounts, often automatically. Most micro investing occurs through mobile-based platforms. You can make investments—you really do invest money, and more on that just ahead—or check your account on the go with your cellphone or tablet. The idea is that small investments made at frequent intervals can add up without much effort or pocketbook pain. We are a "right here, right now" culture, and if we can order a new pair of shoes while walking down the street, why should investing be any harder?

  • The June Disciplinary Actions report is now available: Link https://t.co/lPR2Mw8nKj
    FINRA Mon 15 Jun 2020 19:40
  • Just in: After meeting last week, the FINRA Board of Governors has released a statement sharing their commitment to the principle of equal justice under the law and to fight all forms of racism and prejudice. Read the full statement ?? Link https://t.co/tdRVs4mTxj
    FINRA Mon 15 Jun 2020 18:30
  • For our CEO Robert Cook the past few weeks have been full of introspection, dialogue and learning. Robert recently shared the steps he is personally committing to in the fight against racial injustice. And he asks a simple question: what will you do? Link
    FINRA Mon 15 Jun 2020 16:10
    I shared with FINRA my shock and grief at the killing of George Floyd, and too many other Black and African-American men and women before him. We discussed our commitment to equal justice under the law, and to an anti-racist workplace free from all forms of prejudice.I felt blessed that so many of my colleagues from the Black and African-American communities were willing to share with me insights into what they have been personally experiencing over the last few weeks – including their frustration, anger, and exhaustion – and what they have experienced over the course of their lives.I led ongoing conversations with my senior leadership team about how we will work to create meaningful spaces for courageous conversations about racism and generate further ideas for constructive action to ensure a diverse and inclusive environment at FINRA.I spent time reflecting with friends on the fundamental principle of the oneness of humanity, on the profound implications of this concept for...
  • Election Notice: The annual meeting of FINRA firms will take place on or about Friday, August 7, to elect one Large Firm Governor and one Small Firm Governor to our Board of Governors. The petitions for candidacy are due next Monday, June 22. Learn more: Link https://t.co/OQkvJ0nzy7
    FINRA Mon 15 Jun 2020 14:50
  • Curious as to how FINRA rules are made? Learn more about our 10-step rulemaking process, which requires internal and external reviews to ensure we're protecting investors and market integrity ? Link
    FINRA Fri 12 Jun 2020 20:02
    FINRA Internal Review Once a possible rule proposal is identified, the FINRA subject matter experts research and develop the proposal and present it to FINRA management for review. In addition, FINRA staff works closely with FINRA's Office of the Chief Economist and other FINRA departments to assess the economic impact of potential rulemakings.  The assessment helps to ensure that FINRA's rules are better designed to protect the investing public and maintain market integrity while minimizing unnecessary burdens.    Presentation to FINRA Committees FINRA staff typically presents the rule proposal (or an idea for a rule proposal) to various FINRA Advisory and District Committees.  It may also present the proposal to the NAC for review and input.  The SFAC and the Large Firm Advisory Committee review rule proposals before they are submitted to the FINRA Board for approval.   Submission to FINRA Board FINRA staff prepares an “Action Item” for...
  • ICYMI: We're pleased to announce that Rainia L. Washington will join FINRA June 15, as our EVP – Chief Human Resources Officer. She will lead our People Solutions team, overseeing the organization’s talent recruitment, diversity and inclusion, and more. Link https://t.co/QdZiIJhwEn
    FINRA Fri 12 Jun 2020 18:27
  • 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/9l3VISxUiQ
    FINRA Fri 12 Jun 2020 16:47
  • Interested in becoming a FINRA arbitrator? Learn how to join the ranks of our dedicated individuals serving the investing public and the securities industry ? Link https://t.co/NIF0all2Vz
    FINRA Thu 11 Jun 2020 20:46

    The success of securities arbitration depends on the quality of the arbitrators who hear and decide the disputes presented by the parties. If you qualify, you will join a group of dedicated individuals serving the investing public and the securities industry.

  • Yesterday, our Office of Financial Innovation released a white paper identifying key takeaways that firms and policymakers should consider when thinking about #AI and the securities industry. Read the full paper ?? Link https://t.co/P4BywbP4Dh
    FINRA Thu 11 Jun 2020 19:16
  • This month, FINRA #Pride Alliance is encouraging our #FINRAFam to donate to @GRIOTCIRCLEBK—an advocacy and service org committed to the dignity, well-being, and quality of life of LGBTQ elders of color. Join us in giving back to the LGBTQ community ? Link https://t.co/2Q1j6eBGOW
    FINRA Thu 11 Jun 2020 17:06

    Since 1996, GRIOT Circle has provided a welcoming space, culturally sensitive services, and member-centered programming that affirm the lives of LGBTQ elders of color. Much of this is made possible because of our generous supporters.

  • Join our staff, law enforcement, and industry panelists as they discuss essential controls, new tactics, and helpful tools their firms have put into place to respond to the financial crimes we are experiencing in this current environment. Watch here ? Link https://t.co/NI3oiNx7RG
    FINRA Thu 11 Jun 2020 13:46
  • Reg Notice 20-17: We're adding two new Rule 4530 Problem Codes related to SEC Reg BI and Form CRS, and making related amendments to the existing Rule 4530 Problem Code related to suitability. Implementation Date: July 18, 2020 Learn more ?? Link https://t.co/YIfB2IGp4d
    FINRA Wed 10 Jun 2020 21:50
  • Just in: Today our Office of Financial Innovation released a white paper identifying key takeaways that firms and policymakers should consider when thinking about #AI and the securities industry. Learn more: Link Read the full paper?? FINRA Wed 10 Jun 2020 19:30
  • Yesterday, Robert Cook, Audria Lee and FINRA Governors Camille Busette and Lance Drummond hosted a special FINRA Forum on racial injustice in America with the #FINRAFam. We discussed what we can do to become stronger allies in this fight and how we move forward from this moment. https://t.co/AwGbYjQcqo
    FINRA Wed 10 Jun 2020 16:20
  • Our Board of Governors is currently convening virtually for their June 2020 meeting. Curious how our board works and who it's composed of? Learn more ? Link https://t.co/Gfb7vPNJk5
    FINRA Wed 10 Jun 2020 13:30
  • We asked our employees what they enjoy about working at FINRA. Here's what Shawn had to say. Link https://t.co/Gwti0lUGu0
    FINRA Tue 09 Jun 2020 21:44
  • #Stablecoins are digital assets that aim to manage volatility by tracking the values of more stable assets, such as fiat currencies like the U.S. dollar. Though the name might imply otherwise, stablecoins are not without risks for investors. Learn more: Link https://t.co/88uLVV4R4g
    FINRA Tue 09 Jun 2020 20:14
  • Webinar Series: An Introduction to FINRA Gateway! Register to attend an upcoming webinar which will introduce FINRA Gateway, our new reporting and compliance user experience. The next one is June 16 at 2 p.m. ET. Register now ? Link https://t.co/uc3QcB3lsr
    FINRA Tue 09 Jun 2020 19:09
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