Board Approves Annual Financial Report, Enforcement Digital Transformation Initiative and Three Rulemaking Items WASHINGTON – FINRA's Board of Governors met virtually on June 10 and 11. During the meeting, the Board approved three rulemaking items and approved the organization's Annual Financial Report, which FINRA issues each year to provide transparency regarding its finances. The 2019 […]
Statistical Overview of Brokerage Firms, Registered Representatives and Trading Activity WASHINGTON—FINRA today published the 2020 FINRA Industry Snapshot, its annual statistical report on the brokerage firms, registered representatives and market activity that FINRA regulates.
Study Highlights Grim Financial Challenges and Gender Disparities WASHINGTON, D.C.–New research from the FINRA Investor Education Foundation offers insights into the financial knowledge and habits of incarcerated women across multiple measures of financial capability and literacy, exposing the deep financial challenges facing women in prisons.
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