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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.
This Rule applies to all requests to expunge customer dispute information from the CRD system, except that when a party requests expungement of customer dispute information during a simplified arbitration pursuant to Rule 12800(d), only those sections of this Rule that are specifically referenced in Rule 12800(d) through (f) shall apply. Except as otherwise provided in this Rule, all other
FINRA Requests Comment on Proposed Amendments to Its Membership Application Program to Incentivize Payment of Arbitration Awards
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule
NASD® has taken disciplinary actions against the following firms and
individuals for violations of NASD rules; federal securities laws, rules
and regulations; and the rules of the Municipal Securities Rulemaking
Board (MSRB). The information relating to matters contained in this Notice is current as of the end of November 2006.
The FINRA Annual Conference is packed full of panels with information on all the latest compliance trends and emerging regulatory issues. On today's episode, we're taking you behind the scenes of the opening plenary session of the 2022 event, a conversation between FINRA President and CEO Robert Cook and the chair of the FINRA Board of Governors, Eileen Murray.
Pricing Disclosure in the Fixed Income Markets
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Senior Management
Trading
Key Topics
Fixed Income Securities
Pricing Information
Transaction Confirmations
Referenced Rules &
On This PageSection 100: GeneralSection 200: Equity and OptionsSection 300: DebtSection 400: FuturesGeneralQ100.1: What is the Trading Activity Fee?A100.1: The Trading Activity Fee, or TAF, is one of the member regulatory fees FINRA assesses to recover the costs the supervising and regulating firms. This includes costs associated with performing examinations, financial monitoring, and FINRA’s
Ver en españolThis report addresses developments in FINRA’s Office of the Ombuds, our mission and role, how we help constituents, who contacted us in 2022, and topics they raised. This report also includes resources relating to those topics.To better serve our constituents, we offer assistance in both English and Spanish. As part of these efforts, and also to increase overall awareness about