FINRA proposed delaying the expiry date of Rule 0180 on the application of FINRA rules to security-based swaps, and extending the implementation date of Rule 4240 on margin requirements for credit default swaps.
News & Insights
In two new studies funded by the FINRA Investor Education Foundation, researchers found correlations between financial confidence and financial literacy and cognitive health in older persons.
In a study funded by FINRA's Investor Education Foundation, researchers found that financial overconfidence (i.e., high confidence in an individual's financial knowledge relative to their actual financial literacy) may result in excessive financial risk-taking.
The SEC Office of Compliance Inspections and Examinations described the scope and content of initial examinations for Regulation Best Interest and Form CRS .
A FINRA proposal to modify its suitability requirements and rules governing non-cash compensation to conform to the stricter standards of Regulation Best Interest was published in the Federal Register.