STAMFORD — The speakers who led the meeting Thursday night at the Marriott hotel agreed on a way to strengthen financial markets without the need for any new legislation or spending: more investor education.
If you live in Fairfield County or within commuting distance, you’ll want to attend a “free dinner” presentation like no other. Hosted by the Financial Industry Regulatory Authority (FINRA), the non-governmental regulator of the securities industry, the presentation will focus on “Smart Investing in Today’s Environment,” and you are all invited. Yes, I’ll be there too, so be sure to say hello. The logistics for the event are at the end of this column.
Last week, FINRA, the Financial Industry Regulatory Authority, issued an investor alert on financial advisers. FINRA is the largest independent regulator for all securities firms doing business in the United States.
The week of Oct. 2-8 was World Investor Week, a global campaign promoted by the International Organization of Securities Commissions to raise awareness about the importance of investor education and protection.
As my regular readers know, I am a longtime proponent of financial literacy education — it’s one of the drivers behind my writing this column and six books, and giving lectures and talks at every opportunity. The cause is important, as behavior flows from knowledge.
KAPAA — AARP Hawaii, Financial Industry Regulatory Authority Investor Education Foundation and other partners are presenting a “Scam Jam” to inform the public on ways to protect themselves from scam artists.
The event will take place 9:30 a.m. to noon Thursday in the Paddle Room of the Courtyard Marriott Kauai at Coconut Beach. The seminar is free and open to the public.
WASHINGTON (TNS) — Three Democratic senators are questioning Wells Fargo & Co. about regulatory filings for employees fired for creating unauthorized accounts, saying the forms gave the bank “ample information about the scope of fraudulent sales practices.”
Former Husker Tagge punished by financial industry watchdog
OMAHA, Neb. (AP) — A financial industry watchdog organization has fined former Nebraska quarterback Jerry Tagge for breaking rules about borrowing money from clients.
The Omaha World-Herald reports (http://bit.ly/2bhjKvs ) that the Financial Industry Regulatory Authority fined Tagge $2,500 and suspended him for two months. He went on suspension July 19.
When it comes to matters of money, Wisconsinites seem to have better knowledge of it compared to the rest of the nation.
That's according to findings of the recently released National Financial Capability Study conducted by the Washington, D.C.-based Financial Industry Regulatory Authority (FINRA) Foundation. Wisconsin performed better compared to the nation as a whole when it came to paying bills on time, avoiding non-bank or payday lenders and keeping up with expenses,...
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