FINRA

FINRA Investor Protection. Market Integrity. Only the official, verified social media accounts for FINRA are authorized to represent FINRA’s views.

FINRA, the self-regulator of broker-dealers, protects investors, promotes capital formation and safeguards the markets – all at no cost to American taxpayers. Any opinions or statements expressed on other accounts do not reflect the views of the organization.

06/02/2026

In the latest episode of , listen to a conversation from our 2026 Annual Conference, where FINRA Board Chair Scott Curtis and FINRA CEO Robert Cook discussed the future of FINRA, how is driving our strategic priorities, and how board governance and executive leadership work together to serve the industry.

🎧️ Listen here: https://bit.ly/4o29ytX

Today, we published FINRA's 2026 Industry Snapshot—our annual report providing aggregate data about member firms, regist...
06/01/2026

Today, we published FINRA's 2026 Industry Snapshot—our annual report providing aggregate data about member firms, registered representatives, and market activity. This year’s data reflects an industry in transition. FINRA Chief Economist Jonathan Sokobin explores the data in his latest blog post, spotlighting four significant trends from the report.

📄 Read the blog: https://bit.ly/4ehao2A
▶️ Read the report: https://bit.ly/4dGmP82

The countdown to transform your compliance career is on. Only two months until Week I (July 12–17) of the FINRA Certifie...
05/28/2026

The countdown to transform your compliance career is on. Only two months until Week I (July 12–17) of the FINRA Certified Regulatory and Compliance Professional (CRCP)® Program, designed for professionals seeking to distinguish themselves. Build a strong foundation in securities law, then advance your expertise with complex regulatory and compliance topics in Week II (November 15–20).

Return to your firm with deeper knowledge and lasting professional connections.

▶️ Secure your seat today: https://bit.ly/4qUEe0d

How financially resilient are U.S. veterans? The FINRA Foundation has released new research examining financial resilien...
05/27/2026

How financially resilient are U.S. veterans?

The FINRA Foundation has released new research examining financial resilience among U.S. veterans, drawing on six years of data from the National Financial Capability Study.

The report explores:
💡 How veterans' financial resilience compares to that of non-veterans
💡 How financial resilience varies within the veteran population
💡 Trends in financial resilience over the past several years

The research offers insights as we recognize those who have served our country.

📄 Read the full report: https://bit.ly/4a7om4D

When investing, one factor to consider is whether to put your money to work all at once or gradually over time. If you c...
05/26/2026

When investing, one factor to consider is whether to put your money to work all at once or gradually over time. If you choose the latter, you might consider a strategy called dollar-cost averaging, which involves investing equal amounts at regular intervals regardless of market conditions. Learn how dollar-cost averaging works and whether it might help you achieve your financial goals.

▶️ Learn more: https://bit.ly/3mw8TBX

FINRA firms should be aware of a security incident that poses potential risks to organizations using GitHub cloud reposi...
05/22/2026

FINRA firms should be aware of a security incident that poses potential risks to organizations using GitHub cloud repository products. FINRA recommends sharing this Cyber Alert with appropriate information technology and information security personnel—as well as any third-party vendors that may use GitHub—to identify whether your firm is impacted and take immediate steps to protect your environments.

Learn More: https://bit.ly/4draDbh

Register for FINRA’s Crypto Applied Learning Program at Georgetown McDonough School of Business. This immersive, in-pers...
05/21/2026

Register for FINRA’s Crypto Applied Learning Program at Georgetown McDonough School of Business. This immersive, in-person experience is designed to build practical, applied expertise in crypto and blockchain.

What you’ll gain:
✔️ Key crypto and blockchain concepts
✔️Tokenization of real-world assets
✔️Supervising crypto activities
✔️The evolving threat landscape and much more

📢 New: Intermediate e-learning courses are now available via FLEX: https://bit.ly/4nH5kaZ

View the agenda and register today: https://bit.ly/40Ykiz2

FINRA has fined two member firms a total of more than $1.1 million for anti-money laundering (AML) and supervisory viola...
05/20/2026

FINRA has fined two member firms a total of more than $1.1 million for anti-money laundering (AML) and supervisory violations related to low-priced securities transactions.

▶️ Learn more: https://bit.ly/4dvRvrb

05/19/2026

While FINRA will never ask you for money, scammers might try to convince you otherwise. Some fraudsters pose as regulators, requesting fees to transfer funds or promoting bogus investment “guarantees” designed to steal your money. Check out this FINRA 101 to learn how to spot these red flags and protect yourself from regulator impersonation scams.

🚩 Learn more: https://bit.ly/3doMfKN

How do member firms and FINRA work together to mitigate compliance issues before they escalate? FINRA’s Rapid Remediatio...
05/18/2026

How do member firms and FINRA work together to mitigate compliance issues before they escalate? FINRA’s Rapid Remediation program helps firms take prompt corrective action by surfacing potential reporting and surveillance issues early—supporting the integrity of stronger audit trails and market transparency.

📄 Read the blog to learn more about the program and how it is expanding: https://bit.ly/499JMOf

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