FINRA News
- SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers April 16, 2019WASHINGTON — The Securities and Exchange Commission (SEC) and FINRA announced today the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, in Chicago, IL. The program is designed to provide an open forum for regulators and industry professionals including compliance, audit and other senior personnel […]
- FINRA Foundation and ALA Announce 50 Public Libraries to Host Thinking Money for Kids Traveling Exhibition April 1, 2019WASHINGTON, D.C. – To kickoff April as Financial Literacy Month, the FINRA Investor Education Foundation (FINRA Foundation) and the American Library Association (ALA) today announced the selection of 50 U.S. public libraries to be part of a national tour of the traveling exhibition, Thinking Money for Kids.
- FINRA Proposes Disseminating New-Issue Reference Data for Corporate Bonds March 28, 2019TRACE to Serve as Centralized Source for Consistent, Timely, Accurate Security Information WASHINGTON — FINRA today filed with the U.S. Securities and Exchange Commission a proposal to expand its collection and dissemination of new-issue reference data for corporate bonds. The proposal calls for FINRA’s TRACE (Trade Reporting and Compliance Engine) to serve as a centralized […]
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