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(a) Supervisory System
(1) Each funding portal member shall establish and maintain a system to supervise the activities of each associated person of the funding portal member that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with the Funding Portal Rules. A funding portal member's supervisory system shall provide, at a minimum, for
Update to Security Futures Risk Disclosure Statement and Supplement
FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
In observance of Christmas and New Year’s Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will follow the schedule below:
Thursday, December 24, 2020 Early Close
Friday, December 25, 2020 Closed
Friday, January 1, 2021 Closed
See the tables below for a schedule of modified hours for Thursday, December 24, 2020. Thank you for your
In observance of Christmas and New Year’s Day, the TRACE system will follow the schedule below:
Thursday, December 24, 2020 Early Close
Friday, December 25, 2020 Closed
Friday, January 1, 2021 Closed
See the table below for a schedule of modified hours for Thursday, December 24, 2020 (these hours also apply to BTDS/ATDS/SPDS). Thank you
In observance of Christmas and New Year’s Day, the FINRA Alternative Display Facility (ADF) system will follow the schedule below:
Thursday, December 24, 2020 Early Close
Friday, December 25, 2020 Closed
Friday, January 1, 2021 Closed
See the table below for a schedule of modified hours for Thursday, December 24, 2020. Thank you for your
On This Page:
Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(6)
Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(7)
Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(6)
A member must submit a letter requesting a materiality consultation for specified changes in ownership, control, or business operations, including business expansions
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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 4, 2017
Today, FINRA is publishing its
2017 Regulatory and Examination Priorities Letter
(the Priorities Letter). This letter provides