The Financial Industry Regulatory Authority (FINRA) will ask the SEC for permission to expand their BrokerCheck system, according to FINRA’s news release “FINRA Proposes Further Expansion of Broker Information Publicly Available Through BrokerCheck.” The BrokerCheck system allows the public to view records of securities brokers …
“FINRA Issues Guidance to Firms, Brokers on Communications with Public Through Social Networking Web Sites” is the latest news release from the Financial Industry Regulatory Authority (FINRA). FINRA’s Regulatory Notice 10-06 is a question and answer document meant to provide recommendations to securities firms and …
From the Financial Industry Regulatory Authority (FINRA)’s news release, the “FINRA Investor Education Foundation and the American Library Association Announce $1.5 Million in Grants to Public Libraries to Support Grassroots Financial Literacy.” There are 19 libraries receiving the $1,522,122 through the program ‘Smart investing@your library’. …
The FINRA (Financial Industry Regulatory Authority) Foundation has some financial advice for all of us as we move along in a new decade. FINRA’s news release this week was entitled “FINRA Foundation Issues Seeking Solid Financial Footing for the Next Decade: 10 Tips for 2010.” …
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