FINRA
@FINRA
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Financial Industry Regulatory Authority
Joined April 2009
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We are requesting comment on potential enhancements to our short sale reporting program. Comments must be received by August 4, 2021.
Learn more:
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FINRA has received a number of questions relating to a corporate action and trading halt in MMTLP. Learn more about how corporate actions and trading halts are processed as well as specific information related to MMTLP:
1K
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JUST IN: We have fined Robinhood $57 million and ordered the firm to pay approximately $12.6 million in restitution, plus interest, to thousands of harmed customers.
Learn more ▶️
(1/7)
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We have fined BofA Securities $24 million for engaging in more than 700 instances of spoofing through two former traders in U.S. Treasury secondary markets and related supervisory failures spanning more than six years.
Learn more:
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Today, we announced that we have expelled broker-dealer SW Financial for multiple violations, including making misrepresentations to customers in its sales of private placement offerings of pre-IPO securities, churning customer accounts, and failing to supervise its
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FINRA and other securities regulators inside and outside the U.S. are increasingly concerned about a new twist on the classic pump-and-dump scheme—the ramp-and-dump. Learn more about this stock manipulation scheme:
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We’ve modified our Investor Insights article about corporate actions, trading halts and MMTLP. For additional information, please see the Note at the bottom of the article:
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There has been significant growth in the number of financial products, primarily ETPs, that are linked to, and seek to track, the performance of alternatively weighted indexes—often referred to as "smart beta" indexes. Here's what you need to know ▶️
1K
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We have published a supplemental FAQ with additional information relating to a corporate action and trading halt in the Series A Preferred Shares of Meta Materials that traded under the symbol MMTLP.
Learn more ▶️
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We are reminding member firms of longstanding SEC and FINRA rules and guidance concerning best execution and payment for order flow. Learn more:
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Have you ever received an unexpected text or direct message from a stranger? Don’t trust it—it might be the first step in a “pig butchering” scam.
Avoid becoming a victim of a pig butchering type scam by learning the red flags and how to protect yourself:
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We are reminding member firms about the scope of broker-dealer chief compliance officer (CCO) supervisory liability under FINRA rules.
Learn more:
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JUST IN: We have fined Deutsche Bank $2 million for failing to comply with its obligation to seek best execution for its customers’ orders.
Learn more ▶️
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If interest rates rise, what will typically happen to bond prices? Only 34% of Americans can get 4 out of 5 questions right on our
#FinancialLiteracy
quiz. Take the full quiz to see how you stack up:
#FINRAFoundation
#FinLit
Rise
2843
Fall
4189
Stay the Same
1608
No Relationship
1524
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JUST IN: We have fined BofAS $5 million for failing to report OTC options positions to the LOPR in more than 7.4 million instances, including 26 positions that were over the applicable OTC position limit, and related supervisory failures.
Learn more:
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Are you dealing with a registered investment professional or a fraudster?
Before you invest, check BrokerCheck. 🔍
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JUST IN: We have fined Webull $3 million for options customer approval violations.
Learn more ▶️
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We have adopted new rules to address firms with a significant history of misconduct. The new rules and rule amendments become effective on January 1, 2022.
Learn more:
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We are requesting comment on a proposal to establish a new trade reporting requirement for over-the-counter options transactions.
Learn more:
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Only 1 in 44 seniors report when they've been scammed. This number is because they often don't know where to report their case.
If you need help, you can call the FINRA Securities Helpline for Seniors. ☎️
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True or false: Buying a single company's stock usually provides a safer return than a stock mutual fund. Take the full quiz: Only 34% of Americans can get 4 out of 5 questions right. How do you stack up?
#FINRAFoundation
#FinLit
True
2376
False
5361
I Don't Know
2973
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Imagine the interest rate on your savings account is 1% a year and inflation is 2% a year. After 1 year, how much could the money in the account buy relative to today? Take the full quiz and learn the answer:
#FinancialLiteracy
#FINRAFoundation
More
1481
Same
1342
Less
2935
Don't Know
1967
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While FINRA will never ask you for money, there are scammers who might try to convince you otherwise. These financial fraudsters are posing as regulators and can look surprisingly real.
Learn what to look out for:
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Suppose you have $100 in a savings account earning 2% interest a year. After five years, how much would you have? Only 34% of Americans can get 4 out of 5 questions right. Take the full quiz to see where you stand:
#FinancialLiteracy
#FINRAFoundation
More than $102
4092
Less than $102
909
Exactly $102
958
I don't know
980
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We have adopted amendments to Rule 6730 to require identification of portfolio trades. The changes will take effect on May 15, 2023.
Learn more:
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True or false: A 15-year mortgage typically requires higher monthly payments than a 30-year mortgage but the total interest over the life of the loan will be less. Take the full quiz: Only 34% can get 4 out of 5 questions right.
#FINRAFoundation
#FinLit
True
5877
False
1834
Don't Know
1908
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Wouldn't it be nice if there was a tool that could give you the most important facts about a particular bond in an easy-to-digest package?
We've got you covered.
Check out for essential info on any bond you are considering purchasing.
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What are some of the most interesting cases Sam Draddy, head of FINRA's Market Investigations Team, has heard? Listen to the latest
#FINRAUnscripted
episode to find out and learn more about the latest trends in our fraud and insider trading investigations.
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The only official FINRA Twitter accounts are
@FINRA
,
@FINRAFoundation
and
@FINRA_Tech
. Any other Twitter accounts claiming to be a part of our organization and have FINRA in the domain name are not affiliated with FINRA.
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When you enter an order for a stock, what happens next?
Read on to learn about the different places your order can be executed after you click "buy" or "sell" ▶️
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Today, we have sanctioned four firms—M1 Finance LLC, Open to the Public Investing, Inc., SoFi Securities LLC, and SogoTrade, Inc.—a combined $2.6 million for violations relating to fully paid securities lending.
Learn more:
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Congratulations to Bill St. Louis for his appointment as FINRA's new Head of Enforcement, effective immediately. Learn more:
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Additionally, between January 2018 and December 2020, Robinhood failed to report to FINRA tens of thousands of written customer complaints that it was required to report.
(6/7)
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We took a look back at a few key topics related to anti-money laundering and what FINRA is doing to combat those threats.
You can learn more here ▶️
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We have expelled Monmouth Capital Management for violating Reg BI, and churning and excessively trading customer accounts, including those of Gold Star families.
Learn more:
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Meet Isaac 👋🏼 he's an
@MITFinTech
#Buildathon
-er, who signed up to meet other people in the industry that share his passion. His team focused on Challenge
#2
: Investor Onboarding. Find out why he thinks he can make an impact.
#BreakingBarriers
@Deloitte
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We have fined Merrill Lynch $6 million for longstanding AML program failures. In particular, Merrill Lynch failed to file nearly 1,500 Suspicious Activity Reports.
Learn more:
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The sanctions against Robinhood represent the largest financial penalty ever ordered by FINRA and reflect the scope and seriousness of the violations.
(2/7)
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Learn effective strategies and solutions for protecting senior investors from exploitation, scams and other questionable practices at our 2023 Senior Investor Protection Conference on March 27.
Register now ▶️
661
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FINRA and other securities regulators inside and outside the U.S. are increasingly concerned about a new twist on the classic pump-and-dump scheme—the ramp-and-dump.
Learn more about this stock manipulation scheme:
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⚠️ LockBit, one of the most deployed ransomware variants in recent years, continues to impact organizations across the globe, including FINRA member firms. Our CAU is actively alerting firms about the increased activity of this threat actor. Learn more:
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Have you experienced a major life event that has changed your financial situation? Are you looking for help developing a road map for your financial future? These and other events might make you consider contacting an investment professional. Learn more:
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First, we found in our investigation that, despite Robinhood’s self-described mission to “de-mystify finance for all,” during certain periods since September 2016, the firm has negligently communicated false and misleading information to its customers.
(3/7)
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On the latest episode of
#FINRAUnscripted
, Afshin Atabaki and Haime Workie delve into what exactly
@FINRA
's Machine-Readable Rulebook is, how it works, and how you can start taking advantage of all it has to offer today.
Listen here 🎧
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Second, we found that since Robinhood began offering options trading to customers in December 2017, the firm has failed to exercise due diligence before approving customers to place options trades.
(4/7)
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Investor Alert ⚠️ Self-directed IRAs allow investment in a broader—and potentially riskier—portfolio of assets than other types of IRAs.
Learn ways to avoid fraud from our joint alert with the
@SEC_Investor_Ed
and
@NASAA
:
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What is short interest? What is it not? What do you need to know about short interest data?
We have the answers to your short interest questions. ▶️
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Looking to understand short sale volume data available on our website?
Here's what you need to know. ▶️
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Thank you to
@jengolbeck
for being our keynote speaker at the 2018 Createathon! Your insights on
#MachineLearning
and
#AI
were the perfect way to kick off these three days of innovation and collaboration.
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The action today resolves numerous other charges against Robinhood, including the firm’s failure to have a reasonably designed customer identification program and its failure to display complete market data information.
(7/7)
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As you look over an employer’s benefits selections or research retirement accounts, you may see phrases like “pre-tax” and “tax-advantaged.” But what do these terms really mean, and why should you know the difference?
Learn more:
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We are requesting comment on a proposal to provide additional transparency into delayed Treasury spot trades in corporate debt securities. Comments must be received by January 30, 2023.
Learn more:
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With great sadness, we announce the passing of Thomas Gira, EVP of Market Regulation & Transparency Services. A tremendous leader and industry expert who cared deeply for his colleagues, Tom embodied our values and culture during his 28 years with FINRA.
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Among the wide range of hacking techniques known collectively as social engineering, pretexting is a tactic that hinges on telling a compelling (and, spoiler alert, fake!) story.
Learn about the different ways you might be targeted and more. ▶️
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FINRA joins those speaking out against racial injustice and intolerance.
Today, and every day, we stand together with the Black community.
#BlackOutTuesday
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FINRA and other securities regulators inside and outside the U.S. are increasingly concerned about a new twist on the classic pump-and-dump scheme—the ramp-and-dump.
Learn more about this stock manipulation scheme:
78
23
31
Need help keeping track of
#compliance
deadlines and events?
Check out our Compliance Calendar for firms 👉
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To bring attention to a rising trend in ACATS fraud, we issued Regulatory Notice 22-21 at the end of last year.
Through recent industry engagement, we have gained further insights on how to detect and mitigate the risk of ACATS fraud.
Learn more:
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JUST IN: We announced today that we have fined UBS Securities LLC $2.5 million for Regulation SHO violations and supervisory failures.
Read more:
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A call to FINRA's Senior Helpline resulted in $3.4 million returned to approx. 300 customers at 30 different brokerage firms. Learn how we followed that lead and succeeded in getting the $3.4 million returned to customers, with the firms’ cooperation. ▶️
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Third, we found that, from January 2018 to February 2021, Robinhood failed to reasonably supervise the technology that it relied upon to provide core broker-dealer services, such as accepting and executing customer orders.
(5/7)
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Just in: Joint SEC Staff/FINRA statement on Broker-Dealer custody of digital asset securities:
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25
The April Disciplinary Actions report is now available. Read the report:
Watch below to learn more 🔽
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⚠️ We have seen a recent significant spike in investor complaints resulting from recommendations made by fraudulent “investment groups” promoted through social media channels.
Learn more about these bad actors posing as registered investment advisers. ▶️
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🚨 The 2023 Senior Investor Protection Conference starts next week! 🚨
Register to learn effective strategies and solutions for protecting senior investors from exploitation, scams and other questionable practices. ▶️
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We have fined M1 Finance $850,000 for social media posts made by influencers on the firm's behalf that were not fair or balanced, or contained exaggerated, unwarranted, promissory or misleading claims.
Learn more ▶️
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18
26
⚠️ We have seen a recent significant spike in investor complaints resulting from recommendations made by fraudulent “investment groups” promoted through social media channels.
Learn more about these bad actors posing as registered investment advisers. ▶️
113
11
27
When you enter an order for a stock, what happens next?
Read on to learn about the different places your order can be executed after you click "buy" or "sell" ▶️
216
10
24
Chris Kelly, acting Head of Enforcement, discusses crypto regulation at the 2023 FINRA Annual Conference last week.
Learn more at .
104
11
23
What are some of the most interesting cases Sam Draddy, head of FINRA's Market Investigations Team, has heard? Listen to the latest
#FINRAUnscripted
episode to find out and learn more about the latest trends in our fraud and insider trading investigations.
93
16
24
We're requesting comment on a proposal to facilitate centralized access to members’ order execution quality reports for NMS stocks that are required to be published by market centers under Rule 605 of Regulation NMS. Comments must be received by July 31.
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There are two seats on the FINRA Board for election at our 2023 annual meeting: one Large Firm Governor and one Small Firm Governor. Individuals interested in petitioning to become candidates should contact the Corporate Secretary’s office. Learn more:
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14
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On the 225th
#anniversary
of the Buttonwood Agreement, here are 7 surprising facts about the
@NYSE
#nyse
1
26
25
FINRA and other securities regulators inside and outside the U.S. are increasingly concerned about a new twist on the classic pump-and-dump scheme—the ramp-and-dump.
Learn more about this stock manipulation scheme:
146
14
22
To help firms assess their compliance programs, we published an update to our September 2021 targeted exam (“sweep”) on social media influencers, customer acquisition and related information protection.
Learn more:
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11
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We are requesting comment on potential enhancements to our short sale reporting program. Comments must be received by August 4, 2021.
Learn more:
19
13
24
Over the last three years, 2,000+ members of the FINRA community have joined us on FINRALink—our alumni portal that gives access to networking tools and opportunities, recent news and benefits info.
Register today! ▶️
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Just in: FINRA's first-ever disciplinary action involving
#cryptocurrencies
has been taken. The broker has been charged with fraud and unlawful distribution of a cryptocurrency security called HempCoin.
11
29
19
ALERT: We have been informed of firms receiving phishing emails from the domain "@ ." Please note that this domain is NOT associated with FINRA and firms should delete emails originating from this domain.
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27
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It's important to understand what exchange-traded notes (ETNs) are, how they work and how they are different from exchange-traded funds (ETFs) before you consider investing in them to avoid unpleasant surprises.
Learn more:
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At the FINRA Annual Conference, Jennifer Guadarrama talks about the efforts we have made with
@NASAA
and
@SEC_Investor_Ed
to help investors identify trusted contact persons. Learn more about trusted contacts. ▶️
Learn more at .
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Option holders who hold expiring options have until 5:30 p.m. ET on the day of expiration to make a final exercise decision to exercise or not exercise the option.
Learn more ▶️
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Brokerage accounts allow investors to buy and sell numerous types of investments. When opening a brokerage account, investors have two main options: a cash account or a margin account. Read here to learn the difference between those accounts and more ▶️
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What is short interest? What is it not? What do you need to know about short interest data?
We have the answers to your short interest questions. ▶️
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10
We asked our employees what they think about working at FINRA. Here's what Kara had to say.
528
8
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Check out our encore episode of
#FINRAUnscripted
, where Armando Valdes and David Aman talk about the role our Membership Application Program team is playing in the digital asset space and more.
Listen here 🎧
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12
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Have you recently left the industry or terminated a registration? Your exams can remain valid for five years instead of just two—but only if you enroll in the optional Maintaining Qualifications Program (MQP).
Learn more:
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7
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Seats are filling up fast for Week I of the 2023
@FINRA
Institute at
@MSBGU
CRCP Program! Register now:
#FINRAUnscripted
shares what makes the CRCP Program a must for
#FINRA
member firms and their high-performing compliance staff.
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When it comes to best places to work in IT,
@FINRA
is globally ranked
#4
among midsize companies.
We're honored to be recognized as one of
@Computerworld
's Best Places to Work in IT 2023!
Learn more:
#BestPlacesIT
#FINRAFam
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6
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On the latest episode of
#FINRAUnscripted
, FINRA President & CEO Robert Cook and Chairperson Eric Noll sat down at the 2023 Annual Conference to discuss compliance trends, long-term FINRA goals and how to prepare for anticipated industry developments. 🎧
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