FINRA

Newsroom

Chairman and CEO Rick Ketchum at the FINRA Fixed Income Conference—3/9/10
Applications Now Available for Military Spouses to Become Accredited Financial Counselors—3/8/10
FINRA Investor Education Foundation and United Way Worldwide Announce Nearly $1.5 Million in Grants to Support Grassroots Financial Education Projects—3/4/10
FINRA's National Adjudicatory Council Dismisses Charges of Alleged Supervisory Violations by Senior Personnel of Knight Securities—3/4/10
TRACE Reporting of Government Agency Debt, Primary Bond Market to Begin March 1—3/1/10
The Chartered Institute for Securities & Investment Announces Partnership With ICMA Centre and FINRA on Diploma in Investment Compliance—2/17/10
FINRA Proposes Further Expansion of Broker Information Publicly Available Through BrokerCheck—2/17/10
FINRA Fines H&R Block Financial Advisors $200,000 for Inadequate Supervision of Reverse Convertible Notes Sales, Suspends and Fines Broker for Unsuitable Sales to Retired Couple—2/16/10