FINRA’s Post

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Curious about FINRA committees? Industry and non-industry professionals can join FINRA's various committees to lend their unique perspectives, experiences and expertise. 📺 Watch below to discover more about their important work. Learn more️ ▶️ https://bit.ly/4efggrq

Check out FINRA’s Member Firm Hub: get the latest Notices, guidance and essential resources—in a single place for member firms. Learn more ▶️ https://bit.ly/3KQlMDy

Check out FINRA’s Member Firm Hub: get the latest Notices, guidance and essential resources—in a single place for member firms. Learn more ▶️ https://bit.ly/3KQlMDy

DFR is thrilled to share the FINRA 101 Video Series. Be #MoneySmart! https://ow.ly/fM0o50QxryI

DFR is thrilled to share the FINRA 101 Video Series. Be #MoneySmart! https://ow.ly/fM0o50QxryI

DFR is thrilled to share the FINRA 101 Video Series. Be #MoneySmart! https://ow.ly/fM0o50QxryI

Check out FINRA’s Member Firm Hub: get the latest Notices, guidance and essential resources—in a single place for member firms. Learn more ▶️ https://bit.ly/3KQlMDy

🎒 Let’s dive into this cool update about the SEC and some rule changes they’ve made. So, you know, the SEC is like the boss that makes sure everything is fair and square in the world of buying and selling company stuff (also known as securities). Now, imagine you’re a superhero team, and one of the members is FINRA. They’re like the official group that watches over the brokers and dealers who help with buying and selling stuff. But some of these broker-dealer folks had a special rule that let them do their thing without joining FINRA, and that rule was as old as your grandparent’s flip phone! 📞 Guess what? The SEC realized that some of these brokers were doing a ton of business, like billions of dollars’ worth, and not really following all the rules. So, they decided to change things up a bit. They’re making sure that more of these brokers join FINRA, so they can keep a closer eye on them and make sure everyone’s playing by the rules. It’s like if your superhero team had a new rule that said all members need to show up to meetings so they know what’s going on. This new rule will start in about 60 days from when it’s officially announced, and everyone has to follow it within a year from that announcement. So, long story short, the SEC is making sure that the brokers and dealers in the buying and selling world have a better way of being watched over, like superheroes watching out for each other! 🦸♂️🦸♀️