FINRA News
- FINRA Foundation Announces Annual Research Award Recipients July 5, 2020Studies Advance Understanding of Financial Capability in the United States WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) recently announced the recipients of its higher-education awards created to recognize outstanding analyses by researchers-in-training who seek to advance understanding of consumer financial wellness and the complex relationships among financial literacy, financial capability and financial well-being.
- Eileen Murray Elected Chairperson of FINRA Board of Governors July 5, 2020Maureen Jensen and Eric Noll Appointed as New Public Governors WASHINGTON – The FINRA Board of Governors has unanimously elected Eileen Murray, former Co-CEO of Bridgewater Associates, LP, as Chairperson effective at FINRA’s Annual Meeting in August. In addition, Maureen Jensen, former Chair and CEO of the Ontario Securities Commission (OSC), and Eric Noll, CEO […]
- FINRA Fines SG Americas Securities $1.55 Million for Submitting Inaccurate Blue Sheet Data July 5, 2020SG Americas Securities to Pay $3.1 Million in Total Fines to FINRA and SEC WASHINGTON—FINRA announced today that it has fined SG Americas Securities, LLC (SGAS) $1.55 million for submitting inaccurate trade data (known as “blue sheets”) to FINRA for more than seven years. Additionally, the firm must also certify within 90 days of this settlement […]
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