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...

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.

Arbitration and mediation are two distinct ways of resolving securities and employment disputes between and among investors, brokerage firms and individual brokers, and offer a prompt and inexpensive way of resolving issues.

Investors can file an arbitration claim or request mediation through FINRA when they have a dispute involving the business activities of a brokerage firm or one if its brokers. To be considered, the alleged act resulting in a claim must have taken place within the past six years.

Dispute Resolution is not the same as filing an investor complaint. Some investors are confused about the differences between resolving monetary disputes through arbitration or mediation, and filing an investor complaint. These are unrelated. If you want to make FINRA aware of any potentially fraudulent or suspicious activities by brokerage firms or brokers, then the best course of action is to use FINRA's Investor Complaint Center.

However, if you want to...

Sadly, most of us know someone who has been a victim of a crime, or we may have been ourselves a target. If you are the victim of a crime, you are not alone, and there are ways you can get assistance. 

Are you a senior investor with questions about your brokerage account statement or an investment in a brokerage account?  Are you concerned that your account may have been mishandled by a broker? To help you with these and other investment-related questions, FINRA provides the Securities Helpline for Seniors®.

You may be able to tap into your 401(k) plan assets during a financial emergency. But while taking a loan or a hardship withdrawal may help solve an immediate need, there can be consequences that may reduce your long-term financial security.

You've probably heard them all, right? When you're young, it can often seem annoying or preachy. But when it comes to investing, the value of time is one thing you don't want to disregard.

Young investors may not be able to save large amounts of money, but they have one very important asset on their side: time. If used to its best advantage, time is a powerful wealth-building asset in its own right. Read on to see what a difference time can make