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Company: Financial Industry Regulatory Authority

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Businessman drowning in the sea and asks for help

FINRA research finds 40% lacked the capacity to handle a crisis before Covid-19

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Loneliness, cognitive decline and an increased reliance on the internet intensify investors' vulnerability

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New research confirms surge of new young investors

Smartphone with finance and market icons and symbols concept

Game-like trading apps and Reg BI top the U.S. SRO's compliance exam agenda

Business lawyer team. Working together of lawyer in the meeting.

SRO targets repeat offenders with new rule requiring restricted deposits

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FINRA study finds literacy is associated with future financial capability


Age, vulnerability added to FINRA penalty guidance as aggravating factors

Research finds disconnect in investors' reported risk tolerance

red warning flag on a stormy beach

FINRA, NASAA warn investors about pandemic-driven investment frauds

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SRO aims to boost annual revenues by US$225 million by 2024