FINRA Foundation Dissertation Completion Fellowship Program 2023–2024

FINRA Foundation Dissertation Completion Fellowship Program 2023–2024

Deadline: 16 Dec. 2022.

FINRA Basis Dissertation Completion Fellowship Program 2023–2024

The FINRA Basis’s mission is to empower underserved Individuals with the information, expertise, and instruments to make sound monetary choices all through life. It accomplishes this mission via academic applications and analysis that assist shoppers obtain their monetary targets and that defend them in a posh and dynamic world.

The FINRA Basis Dissertation Completion Fellowship program seeks to broaden the pipeline of researchers from racial and ethnic backgrounds whose underrepresentation within the U.S. professoriate has been extreme and longstanding. To attain that purpose, the FINRA Basis Dissertation Completion Fellowship supplies an award of as much as $40,000 to superior doctoral candidates inside their final 12 months of Ph.D. dissertation writing to help completion of their dissertation analysis and writing.

The Fellowship program helps doctoral candidates who’re pursuing dissertation analysis centrally regarding monetary companies and the capital markets on matters associated to the next areas: monetary functionality; investor safety; increasing entry to monetary companies and the capital markets (together with fintech companies); and understanding the systemic boundaries to monetary inclusion skilled by underserved communities and communities of colour. Graduate examine could also be in any educational self-discipline.

The Basis will evaluation and decide in annually whether or not to supply Dissertation Completion Fellowships, in what numbers and for what quantities, and the related eligibility standards.

The Fellowships helps one 12 months of analysis and writing of superior doctoral candidates inside their final 12 months of Ph.D. dissertation writing. The Fellowship program helps doctoral candidates who’re pursuing dissertation analysis centrally regarding monetary companies and the capital markets on matters associated to the next areas: monetary functionality; investor safety; increasing entry to monetary companies and the capital markets (together with fintech companies); and understanding the systemic boundaries to monetary inclusion skilled by underserved communities and communities of colour. Graduate examine could also be in any educational self-discipline.

Fellows are chosen for a one-year time period via a aggressive software course of. The Fellowship is nonrenewable.

Fellows obtain an award of as much as $40,000. Every Fellow should execute a contract with the Basis incorporating the phrases of the award and different related phrases of this system.

The Basis intends that these Fellowships would be the major supply of funding for the Fellow (i.e., that the Fellowships can be awarded to Fellows who would not have different massive outdoors funding sources accessible to them). An applicant who has some smaller sources of funding accessible (i.e., educating or analysis assistantships, departmental awards, small journey grants) will nonetheless be eligible to obtain a Fellowship beneath this program.

The Fellowship is meant to alleviate a Fellow’s want for important different employment in the course of the ultimate 12 months of finishing his/her dissertation. Nevertheless, the Basis acknowledges that people have distinctive wants and circumstances, and accordingly a Fellow who has “affordable” outdoors employment in the course of the Fellowship 12 months just isn’t disqualified from receiving a Fellowship. The Basis encourages not more than 20 hours/week however will search to collaborate with Fellows if extra is required. If an applicant intends to work in the course of the Fellowship 12 months for any variety of hours/week, the applicant should search so point out in his/her software for the Fellowship, or, if the chance arises after the award is issued, the Fellow should get hold of the Basis’s approval. Moreover, the choice committee will need to have ample proof to reveal that the Fellowship applicant will be capable to end the dissertation inside the timeframe specified.

A variety committee of students and analysis specialists from numerous fields choose award recipients.

Fellowship Program Options

The analysis and writing should be performed inside the USA, both in-residence on the dwelling college or remotely.
The Fellowship cash could also be used for the next functions:

College tuition and costs and different academic bills
Analysis help, resembling knowledge, software program, specialised computing companies
Residing bills
Dependent childcare
Journey to skilled conferences, conferences, or seminars
To the extent the Fellowship is paid via the college, oblique prices payable to the college supplied, the quantities payable to the college should not exceed 10 p.c of the Fellowship award

In reference to an award, Fellows are suggested to seek the advice of with their tax advisor relating to the taxability to the Fellow of the award.
The Fellowship can be paid in 4 quarterly installments. To obtain an installment, the Fellow should submit (and the Basis should settle for) a progress report describing, amongst different issues, the progress the Fellow has made towards completion of the dissertation.

Fellowship Program Eligibility

The Fellowship is open to U.S. residents, U.S. nationals, U.S. everlasting residents, or people granted deferred motion standing beneath the Deferred Motion for Childhood Arrivals Program or Momentary Protected Standing, in every case who’re members of sure racial and ethnic teams traditionally underrepresented in increased schooling (as outlined within the Fellowship phrases). Worldwide college students finding out within the U.S. on a pupil Visa are ineligible for this Fellowship.
Candidates should be enrolled full-time at a U.S. non-profit (personal) or a state (public) doctoral-granting establishment of upper schooling that’s accredited by a nationally acknowledged accrediting company.
Candidates can’t be affiliated with (i.e., employed by or associated to, or have an instantaneous member of the family who’s employed by or associated to) a present director, officer, employees member of the FINRA Basis, or a present member of the FINRA Board of Governors.
Candidates can’t be an “Related Individual” as outlined beneath FINRA Rule 1011(b) and can’t in any other case affiliated with (i.e., employed by, or have an instantaneous member of the family who’s employed by) a securities agency regulated by FINRA.
Candidates can’t be affiliated with securities regulators, self-regulatory organizations, or securities business commerce associations.
Candidates should be enrolled full-time in a Ph.D. diploma program.
All pre-dissertation necessities should be met by the Fellowship begin date, together with approval of the dissertation proposal. If not already accepted as of the applying date, proof of approval for the dissertation proposal should be submitted a minimum of 30 days earlier than the graduation of the Fellowship.
Candidates should be within the writing stage of their dissertation by the point the Fellowship begins.
Candidates should not maintain different doctoral levels; this ought to be an applicant’s first doctoral program.
Candidates who’ve beforehand acquired a Basis Fellowship will not be eligible to obtain one other Fellowship, and Fellowships will not be in any other case renewable.
Functions should be submitted by electronic mail by the applying deadline.

Required Utility Parts

Completion of software type.
A present curriculum vitae (CV).
Graduate Transcripts. An unofficial copy is ample for the applying, however an applicant chosen to obtain a Fellowship should submit an official transcript earlier than cost of the primary installment of the award.
Rationalization of significance of the unique analysis, 300-word summary and the way it furthers the analysis agenda the Fellowships search to help.
Contribution to the sphere of examine (i.e., a short description of the potential contributions this analysis will make to the sphere, and the way the analysis advances the present state of information within the subject, substantively and/or methodologically).
Mission proposal (max 2,500 phrases)
Variables Checklist – i.e., a categorized checklist of the variables from the NFCS (Nationwide Monetary Functionality Research), or different knowledge set(s) that can be used on this analysis venture. (2 single-spaced pages most)
Funds – how the funds can be used, different sources of funding accessible to the applicant (if relevant).
Two letters of help: one from dissertation director/chair, and one from one other school member are required.
Assertion from the applicant’s establishment (ideally from the applicant’s division chair, director of graduate research, or dean) testifying to the viability of the proposed timeline for completion.

Components for Fellowship Choice

Applicant’s scholarly excellence.
High quality of venture design, together with its methodology, scope, theoretical framework, and grounding within the related scholarly literature.
Originality of venture.
Scholarly significance of venture to the self-discipline and the way it furthers the analysis agenda the Fellowships search to help.
Feasibility of venture and proposed schedule.
Potential of applicant to make a major contribution to the sphere.
Applicant is from an underrepresented racial/ethnic background whose underrepresentation within the American professoriate has been extreme and longstanding:

Alaska Natives (Aleut, Inuit, or Yupik, or different Alaska Natives)
Black/African Individuals
Hispanic/Latinx
Native Individuals (traditionally typically known as American Indians)
Native Pacific Islanders (Hawaiian/Polynesian/Micronesian)

Applicant is from an underrepresented space of the nation or kind of college aside from a top-level analysis establishment.

Fellowship Program Phrases and Circumstances
Phrases

Acceptance of a FINRA Basis Dissertation Completion Fellowship requires achievement of sure phrases, together with:

Fellowship recipients should signal and abide by a written contract as acceptance of the award.
Fellowship recipients should pursue their initiatives full-time (i.e., at the least 40 hours per week) in the course of the Fellowship interval.
No partial fellowships are awarded. Fellowships will not be deferred.
Fellows should get hold of prior written approval from the Basis for any main adjustments in plans for the Fellowship 12 months.
Fellows should notify the FINRA Basis promptly, in writing, of any change within the standing of an software ensuing from acceptance of one other award. Concurrent funding from a Fellow’s establishment could also be allowable relying on the parameters of that funding, however that is reviewed by the FINRA Basis on a case-by-case foundation.
Acceptance of the Fellowship affirms that the knowledge contained within the Fellowship software and supporting paperwork is true and correct to one of the best of the person’s information.
Fellowship recipients should conform to their institutional and departmental insurance policies and procedures, to any relevant pupil code of conduct, and to relevant legal guidelines.
Candidates should submit a certification of development to doctoral candidacy from their doctorate-granting establishment.
If the Applicant has not but defended his or her dissertation proposal when submitting the applying, the letters of help should testify that the Fellowship applicant will achieve this earlier than the time of the award. If chosen, the Fellow might want to submit the written approval of the dissertation proposal earlier than graduation of the award.
Candidates should submit an endorsement from the dissertation chair within the type of a letter earlier than the applying deadline.
Candidates should certify that they haven’t been convicted or present in violation of any state or federal securities legal guidelines, haven’t been enjoined or sanctioned by any regulatory authority for these sorts of violations, and will not be named as a defendant in any pending federal motion alleging securities legal guidelines violations.
Functions should be submitted by electronic mail by the applying deadline.
If an applicant just isn’t chosen for a Fellowship, the applicant might reapply in a future 12 months if nonetheless eligible at the moment. Nevertheless, the applicant should submit a brand new software at the moment.

Funding Restrictions

The FINRA Basis intends that these Fellowships would be the major supply of funding for the Fellows (i.e., that the Fellowships can be awarded to Fellows who would not have different massive outdoors funding sources accessible to them). An applicant who has some smaller sources of funding accessible (i.e., educating or analysis assistantships, departmental awards, small journey grants) will nonetheless be eligible to obtain a Fellowship beneath this program. Fellows can be anticipated to say no main grants or fellowships from different sources for the Fellowship interval. The Basis might think about exceptions to the foregoing on a case-by-case foundation.

The Fellowship is meant to alleviate a Fellow’s want for important different employment in the course of the ultimate 12 months of finishing his/her dissertation. Nevertheless, the Basis acknowledges that people have distinctive wants and circumstances, and accordingly a Fellow who has “affordable” outdoors employment in the course of the Fellowship 12 months just isn’t disqualified from receiving a Fellowship. The Basis encourages not more than 20 hours/week however will search to collaborate with Fellows if extra is required. If an applicant intends to work in the course of the Fellowship 12 months for any variety of hours/week, the applicant should search so point out in his/her software for the Fellowship, or, if the chance arises after the award is issued, the Fellow should get hold of the Basis’s approval.

Reporting Necessities

Fellows can be required to submit a short progress report (i.e., 3-5 pages) quarterly via your entire Fellowship interval. Fellows should submit a ultimate report on the finish of the Fellowship interval. The ultimate report will include an prolonged dissertation summary (3-5 pages), an announcement of analysis dissemination and communication actions and plans (1-3 pages), and the whole accepted dissertation. It should be submitted electronically to [email protected]. All reporting necessities and deadlines can be outlined within the award letter. Basically, the failure to submit a progress report will end result within the quarterly installment cost being withheld.

Funding Disbursement

Every installment cost after the preliminary installment is contingent upon receipt of, and approval of, the quarterly progress report or ultimate report (as relevant). Fellows will obtain one-quarter of the whole award firstly of the Fellowship interval, one-quarter upon approval of the primary progress report, one-quarter upon approval of the second progress report, and one-quarter upon approval of the ultimate report.

A Fellow might request that the Fellowship be awarded via the Fellow’s establishment, topic to affirmation that the association will adjust to the Basis’s requirement that any quantities payable to the academic establishment in connection therewith should not exceed 10 p.c of the Fellowship award.

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