WASHINGTON—FINRA today released its 2020 Risk Monitoring and Examination Priorities Letter, highlighting new priorities as well as identifying areas of ongoing concern that FINRA will continue to focus on in the coming year.
Washington, DC – Female investors lag behind their male counterparts when it comes to investment knowledge and confidence, according to new research conducted by the FINRA Investor Education Foundation (FINRA Foundation) and the George Washington University School of Business' Global Financial Literacy Excellence Center (GFLEC).
WASHINGTON – FINRA announced today that it has named Greg Ruppert as Executive Vice President, National Cause and Financial Crimes Detection Programs. Ruppert will join FINRA March 23 and will report directly to Bari Havlik, Executive Vice President, Member Supervision. “Detecting fraud and addressing it quickly is core to our mission of investor protection and […]
Recommend risky investments
Excessively trade your account
Fail to limit securities losses
Over-concentrate your portfolio
Recommend unsuitable investments
Make material misrepresentations
Excessively use margin
Earn huge commissions while you lost money
Sell you auction rate securities
Sell you a high risk private placement
Sell you highly leveraged ETF’s
Execute unauthorized trades
Sell you junk or church bonds