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📣 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 throughout the week! Learn more and view the agenda: https://bit.ly/3H3JM76
You wouldn’t make a major purchase without reading reviews or comparing options, and investing should be no different. Doing your research, or due diligence, helps you assess whether an investment fits your goals, risk tolerance and timeline. Learn what due diligence involves and where to find comprehensive information about stocks and bonds below. Stock Investing and Due Diligence: https://bit.ly/4jTiXRa Bond Investing and Due Diligence: https://bit.ly/4lZHRka
Third-party risk was the most clicked-on topic in FINRA’s 2025 Regulatory Oversight Report—but why is it an area of growing concern for member firms? On this episode of hashtag#FINRAUnscripted, Greg Ruppert, EVP of Member Supervision, shares insights on the evolving vendor risk landscape and how FINRA’s intelligence sharing is helping member firms protect themselves. 🎧 Listen to the episode: https://bit.ly/42L2zN7 📖 Read the blog for more guidance on third-party vendors: https://bit.ly/4kr9b9x
Reading, writing, arithmetic … and finance? Financial fluency is a lifelong skill that starts early. Teaching kids smart money habits now can help them grow into financially capable adults in the future. Here are 4 ways to help build a strong financial foundation from preschool to high school and beyond. Learn more: https://bit.ly/448lpyK
April is Financial Capability Month—a timely opportunity to enhance your financial knowledge and skills. FINRA and the FINRA Investor Education Foundation offer valuable resources designed to support you and your family throughout your financial journey. We've outlined five practical steps to help you build financial resilience and move confidently in the right direction. Learn more: https://bit.ly/42A38rx
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’s own words: https://bit.ly/42Gnlfo
Member firms should be aware of an alleged large-scale data breach possibly affecting Oracle Cloud services at firms and third-party providers. FINRA recommends that firms review this information to assess any potential impact to their operations, as well as with third-party providers who provide services to the firm. Learn more: https://bit.ly/421dYIo
A stop order is an order to buy or sell a stock once the stock reaches a predetermined price. While stop orders can help you manage market risk, they can introduce their own risks, especially during times of market volatility. Be sure you understand how stop orders work and the risks involved before you decide to use one. Learn more: https://bit.ly/3RnWS10
This episode of hashtag#FINRAUnscripted features Elizabeth Yoka from our Vulnerable Adults and Seniors Team (VAST). Here we discuss the FINRA Securities Helpline for Seniors and its decade-long commitment to investor protection. Tune in to our latest podcast to learn more 🎧: https://bit.ly/4i0Zc9g
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 review the Helpline's significant impact below and learn more here: https://bit.ly/4lazzFt
