Not all financial professional designations are created equal. A financial professional designation, like a certification or credential, can indicate specialized training or expertise. But it’s not the same as being registered or licensed. This Investor Bulletin can help you understand what those letter abbreviations might mean and what they don’t. Learn more: https://bit.ly/3ZK7oV8
Thinking about using an online trading platform? While this might seem straightforward, there are still common misconceptions about how online trading works. If you’re considering this route, here are six things to know. Learn more: https://bit.ly/4jWa5Kp
Welcoming a new addition to the family brings joy—and new financial responsibilities. Whether you’re just starting to plan or already adjusting to life with a newborn, it's never too early to get your financial house in order. Here are five steps to help you be financially prepared. Learn more: https://bit.ly/3HAc7m0
Lost track of an old investment account? You’re not alone. If you leave assets untouched for too long and lose contact with the institution holding them, they could be labeled as unclaimed property. Learn what steps you can take now to help avoid this situation. Learn more: https://bit.ly/45vnVjt
Got an unexpected text or DM from a stranger? It could be the start of a relationship investment scam. Scammers often build trust over time to influence their targets' investment decisions, often convincing them to invest in fake opportunities before disappearing with the funds. Staying informed and recognizing the warning signs is your best defense. Learn more: https://bit.ly/4mDcCvq
The self-regulatory model works best when members actively participate. Connect with your Regional Committee representative to share your feedback directly—your voice matters. Learn about FINRA's Regional Committees: https://bit.ly/4dv2uAR Engage with FINRA: https://bit.ly/4jVHntI
Passive or active investing? Choosing one or a combination of both options should be based on your financial goals, stage of life and risk tolerance. Understand the advantages of passive and active investing when considering which strategy is right for you. Learn more: https://bit.ly/4mpzxKv
Stephanie Dumont, Executive Vice President, Market Regulation and Transparency Services at FINRA, discusses how providing data insights to member firms helps empower compliance. Learn more about hashtag#FINRAAC: https://bit.ly/3H3JM76
The final day of the FINRA Annual Conference wrapped up a week of 30+ sessions focused on increasing investor protection, equipping firms to prepare for and adapt to the evolving regulatory landscape, and strengthening compliance practices. Thank you to all attendees and panelists who helped make this year's Conference a success—See you next year! ➡️Learn more about FINRA Forward: https://bit.ly/42Gnlfo ▶️Learn more about hashtag#FINRAAC: https://bit.ly/3H3JM76
As a membership organization, FINRA’s work is informed by committee feedback. FINRA recently engaged with several advisory committees, including the Small Firm Advisory Committee, to discuss: ➡️ FINRA Forward ➡️ Rule Modernization ➡️ Recent Regulatory Notices Your voice matters. Discover committee opportunities here: https://bit.ly/3GPdooM hashtag#MembershipInAction
