What is finra
[DOC File]Content Modules - FINRA Investor Education Foundation
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FINRA Investor Education Foundation. Table of Contents. 1 Prepare to Invest Tab 1. 1. Introduction: Saving and Investing 1-1. 2. Create a Budget—and Pay Yourself 1-5. 3. Set Your Financial Goals 1-7. 4. Establish an Emergency Fund 1-11. 5. Choose Investments Wisely 1-13. 6. Practice Good Habits 1-15
[DOCX File]Business Continuity Plan Template for - FINRA
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May 12, 2010 · FINRA Rule 4370(c) requires that firms relying on another entity for elements of their BCP or mission-critical systems must address that relationship in their plan. This template is written for small introducing firms that use a clearing firm, and includes sample language regarding the nature of that particular relationship only.
[DOCX File]FINRA Foundation Releases Financial Capability Study
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Jun 13, 2006 · FINRA Foundation releases study on ‘financial capability’ for Americans. As America struggles to find its footing on a recovering economic landscape, personal financial behaviors and capability have become front and center for not only individual American families but also policy makers.
[DOC File]Managing Investment Risk (M)
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FINRA also maintains a toll-free number that senior investors can call to get assistance from FINRA or raise concerns about issues with brokerage accounts and investments. Call FINRA’s Securities Helpline for Seniors at 844-574-3577. The Securities Investor Protection Corporation (SIPC) is a non-profit, non-government membership corporation ...
[DOCX File]Firm Policy - FINRA
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FINRA has produced a Customer Identification Program Notice. to assist firms in fulfilling this notification requirement. Please refer to the FINRA AML web page. for further details. TEXT EXAMPLE: We will provide notice to customers that the firm is requesting information from them to verify their identities, as required by federal law.
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