FINRA on Twitter
Our Board of Governors met on May 11 and 12, and it approved three rule proposals and the organization’s 2021 Annual Financial Report, and appointed new members to @FINRA's Advisory Committees.— FINRA (@FINRA) May 26, 2022
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The May Disciplinary Actions report is now available. ▶️ https://t.co/ypI4rqTnN3 pic.twitter.com/tyGqFj4sXG— FINRA (@FINRA) May 26, 2022
FINRA Rule 4111 (Restricted Firm Obligations) became effective on January 1. The first “Evaluation Date” for Rule 4111 will be June 1, 2022.— FINRA (@FINRA) May 25, 2022
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FINRA is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets.
Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA is a government-authorized not-for-profit organization that oversees U.S. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence.
- every investor receives the basic protections they deserve;
- anyone who sells a securities product has been tested, qualified and licensed;
- every securities product advertisement used is truthful, and not misleading;
- any securities product sold to an investor is suitable for that investor's needs; and
- investors receive complete disclosure about the investment product before purchase.