About FINRA
About FINRA
Jan 1, 2009
finra.org
You asked. We answered. What is FINRA? Learn more ▶️ https://bit.ly/3RN56j7 #FINRA101 | FINRA
2:04
You asked. We answered. What is FINRA? Learn more ▶️ https://bit.ly/3RN56j7 #FINRA101 | FINRA
168 viewsSep 13, 2024
FacebookFINRA
We have launched FINRA Forward, a series of initiatives to further improve our effectiveness and efficiency in pursuing our mission. FINRA Forward addresses how we can best fulfill our mission of protecting investors, safeguarding market integrity, and promoting market confidence. The future begins now, with targeted initiatives to modernize regulations, enhance industry compliance, and strengthen protections against cyber threats. Learn more below and read about FINRA Forward in CEO Robert Cook
0:56
We have launched FINRA Forward, a series of initiatives to further improve our effectiveness and efficiency in pursuing our mission. FINRA Forward addresses how we can best fulfill our mission of protecting investors, safeguarding market integrity, and promoting market confidence. The future begins now, with targeted initiatives to modernize regulations, enhance industry compliance, and strengthen protections against cyber threats. Learn more below and read about FINRA Forward in CEO Robert Cook
1.1K views11 months ago
FacebookFINRA
Complying with Finra Know Your Customer Guidelines
Complying with Finra Know Your Customer Guidelines
Jan 25, 2025
cgaa.org
Ornella Bergeron, Senior Vice President of Member Supervision at FINRA, shares how member firms can review the 2026 Regulatory Oversight Report and leverage effective practices and resources for smarter compliance planning. ▶️Read the full report: https://bit.ly/44hQqj1 🎧 Listen to the podcast: https://bit.ly/4rLCpUT | FINRA
0:51
Ornella Bergeron, Senior Vice President of Member Supervision at FINRA, shares how member firms can review the 2026 Regulatory Oversight Report and leverage effective practices and resources for smarter compliance planning. ▶️Read the full report: https://bit.ly/44hQqj1 🎧 Listen to the podcast: https://bit.ly/4rLCpUT | FINRA
113 views3 months ago
FacebookFINRA
📣 We’re excited to kick off FINRA’s 2025 Annual Conference — our premier event for compliance and regulatory professionals! Those in attendance will gain practical guidance and insights from FINRA staff and connect with peers across the industry on today’s top regulatory and compliance topics like: ✅ Communications Supervision ✅ Self-Directed Investors ✅ Cyber Threat Landscape ✅ Remote Supervision ✅ Vendor Risk Management & more 📱 Stay connected to see daily highlights of the conference throug
1:05
📣 We’re excited to kick off FINRA’s 2025 Annual Conference — our premier event for compliance and regulatory professionals! Those in attendance will gain practical guidance and insights from FINRA staff and connect with peers across the industry on today’s top regulatory and compliance topics like: ✅ Communications Supervision ✅ Self-Directed Investors ✅ Cyber Threat Landscape ✅ Remote Supervision ✅ Vendor Risk Management & more 📱 Stay connected to see daily highlights of the conference throug
105 views10 months ago
FacebookFINRA
FINRA CEO, Robert Cook highlights the importance of evolving with the industry at our 2025 Annual Conference. Learn more about #FINRAAC: https://bit.ly/3H3JM76 | FINRA
1:16
FINRA CEO, Robert Cook highlights the importance of evolving with the industry at our 2025 Annual Conference. Learn more about #FINRAAC: https://bit.ly/3H3JM76 | FINRA
299 views10 months ago
FacebookFINRA
FBI – Federal Bureau of Investigation Deputy Director Paul Abbate talks about the FBI's top financial crime threat priorities and any new emerging threats that they're seeing at the 2023 FINRA Annual Conference. Learn more at http://finra.org/2023AC. | FINRA
1:11
FBI – Federal Bureau of Investigation Deputy Director Paul Abbate talks about the FBI's top financial crime threat priorities and any new emerging threats that they're seeing at the 2023 FINRA Annual Conference. Learn more at http://finra.org/2023AC. | FINRA
248 viewsMay 18, 2023
FacebookFINRA
FINRA marks a decade of the FINRA Securities Helpline for Seniors, a vital resource safeguarding the interests of seniors and vulnerable investors. Established to provide direct access to FINRA's specially trained staff, the Helpline offers assistance with brokerage account inquiries, investment concerns, and other related matters. Over the past ten years, this resource has demonstrated remarkable effectiveness in protecting and supporting our most vulnerable investors. We encourage you to revie
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FINRA marks a decade of the FINRA Securities Helpline for Seniors, a vital resource safeguarding the interests of seniors and vulnerable investors. Established to provide direct access to FINRA's specially trained staff, the Helpline offers assistance with brokerage account inquiries, investment concerns, and other related matters. Over the past ten years, this resource has demonstrated remarkable effectiveness in protecting and supporting our most vulnerable investors. We encourage you to revie
359 viewsApr 1, 2025
FacebookFINRA
How does Finra find out about outside business activity?
How does Finra find out about outside business activity?
7 months ago
cgaa.org
Our Board of Governors met this month, and it appointed new public governor Lisa Fairfax, approved FINRA’s 2022 Annual Financial Report and added new members to Advisory Committees. Learn more: https://bit.ly/3qeIa1T | FINRA
0:17
Our Board of Governors met this month, and it appointed new public governor Lisa Fairfax, approved FINRA’s 2022 Annual Financial Report and added new members to Advisory Committees. Learn more: https://bit.ly/3qeIa1T | FINRA
131 viewsMay 25, 2023
FacebookFINRA
FINRA fines Moomoo $750,000 over misleading 'finfluencer' ads and more - FinanceFeeds
FINRA fines Moomoo $750,000 over misleading 'finfluencer' ads and more - FinanceFeeds
Nov 27, 2024
financefeeds.com
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