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In observance of Presidents’ Day, the FINRA Alternative Display Facility (ADF) will be closed on Monday, February 17, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
In observance of Presidents’ Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Monday, February 17, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
A broker-deal firm’s anti-money laundering efforts may overlap with any number of other regulatory concerns. On this episode, the second in a two-part series, we’re looking at how AML may overlap with a firm’s efforts to protect senior investors from exploitation and fraud.
Proposed Consolidated FINRA Rules Governing Financial Responsibility; Comment Period Expires: June 13, 2008
FINRA is sharing the following common practices we observed while conducting Reg BI preparedness reviews and other ongoing conversations with firms. We hope this helps firms assess their Reg BI initiatives and continue their work preparing for the compliance date.
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.