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Supervision Frequently Asked Questions (FAQ)
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).
FINRA takes disciplinary actions against firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board.
In observance of Good Friday, the TRACE system will be closed on Friday, April 10, 2020. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
In observance of Good Friday, the FINRA Alternative Display Facility (ADF) will be closed on Friday, April 10, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
FINRA Revises the Rule 4530 Filing Application Form and the Product and Problem Codes for Reporting Customer Complaints and for Filing Documents Online
A member firm may include related performance information in institutional communications concerning Section 3(c)(1) Funds, subject to the stated conditions discussed in the letter.