Industry News

Keep up to date on financial industry news and the regulatory authorities through these resource links:

• New Research: Financial Literacy Is Significant Indicator of Positive Future Financial Outcomes and Behaviors
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-10-29
• New Research: U.S. Investors Unfazed by Pandemic-Related Market Volatility
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-10-13
• FINRA to Hold Artificial Intelligence (AI) Virtual Conference and FinTech Office Hours
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-10-07
• FINRA and the FINRA Investor Education Foundation Promote World Investor Week 2020
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-10-05
• FINRA Foundation Awards 2020 Ketchum Prize to Michael Morris
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-09-30
• New Research: Two FINRA Foundation Studies Explore Links among Financial Knowledge, Cognitive Health, and Financial Decision Making in Older Americans
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-09-21
• FINRA Executive Vice President Michael Rufino Announces Departure
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-09-21
• Report From FINRA Board of Governors Meeting – September 2020
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-09-18
• New Research: FINRA Foundation Explores Risky Financial Behaviors by Senior Investors
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-09-10
• FINRA Sanctions Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC More Than $2 Million for Supervisory Violations Related to Variable Annuity Switches
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-09-02
• FINRA Foundation News: Military Spouses Receive Fellowships to Conduct Financial Counseling
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-08-27
• FINRA Fines Interactive Brokers $15 Million for Widespread AML Failures
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-08-10
• FINRA Announces Results of Governor Elections
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-08-07
• FINRA Publishes 2020 Industry Snapshot
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-07-31
• New Research: FINRA Foundation Examines Financial Capability of Women Behind Bars
  Source: Financial Industry Regulatory Authority (FINRA)Published on 2020-07-23