FINRA News
- FINRA Publishes 2020 Industry Snapshot September 19, 2020Statistical 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.
- Report From FINRA Board of Governors Meeting – September 2020 September 19, 2020Board Approves Two Rulemaking Items, Meets With External Stakeholders WASHINGTON – FINRA’s Board of Governors met virtually on September 9 and 10. During the meeting, the Board approved two rulemaking items, and received updates on FINRA’s operations, including the Examination and Risk Monitoring Program Transformation and the Market Regulation Enforcement program.
- New Research: FINRA Foundation Explores Risky Financial Behaviors by Senior Investors September 19, 2020Study Suggests Overconfidence in Financial Knowledge May Lead to Excessive Financial Risk Taking Among Older Investors WASHINGTON, D.C. – America’s older investors, many facing diminished financial knowledge and overconfidence in their ability to make sound investment decisions, may engage in more risky financial behaviors as they continue to age, according to new research from the […]
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