WebJul 14, 2024 · Join the RUSA Financial Literacy Interest Group on Tuesday, July 28, for "When You Least Expect It: Helping Library Patrons Manage Life’s Financial Twists and Turns," a free webinar about financial education, sponsored by the FINRA Investor Education Foundation. WebFeb 10, 2024 · Webinars. Earn CPE credit and stay current on the latest best practices and trends in third-party risk management. See Upcoming Webinars. On-Demand Webinars . ... The 2024 FINRA Annual Conference in Washington, DC offered industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk …
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WebFeb 19, 2024 · Printer-Friendly Version. On February 1, 2024, the Financial Industry Regulatory Authority (“FINRA”) published the first annual Report on FINRA’s Examination and Risk Monitoring Program (the “Report”), which (i) provides an analysis of prior examination results and (ii) highlights areas FINRA plans to review in the coming year. In … WebT +1 202 857 2449. F +1 202 828 3305. [email protected]. vCard. Emily advises her clients as they navigate complexities inherent in the securities-regulatory environment. Drawing on her wealth of experience as a regulator, she handles a wide range of compliance and enforcement issues affecting broker-dealers, fintech companies, … dacia dokker prijs
FINRA To Teach Investors Smarter Investing, How To Avoid Pitfalls
WebOn February 11, SIFMA and the SIFMA C&L Society discussed FINRA’s 2024 priorities, addressing whether firms are prepared for 2024, and if not, what needs to be done to get there. Watch On Demand. ... Access … WebTrade activity for Corporate and Agency bonds. Since the fixed income market is less liquid than most markets for stocks, there may be no trade activity in a security for a period of time. Fixed Income data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P, Moody’s, and Black Knight Technologies. WebApr 13, 2024 · FINRA will reduce the timeframe for reporting transactions in Treasuries securities to TRACE, as described in Regulatory Notice 22-27. To support these changes, a production User Acceptance Test (UAT) will occur on Saturday, April 22, 2024. Firms should notify FINRA Market Operations of their intent to participate in the UAT via email. dacia dijelovi