In January 2003, NASD’s Advertising Regulation Department contacted 64 NASD member firms to determine their level of compliance with the NASD and SEC rules that govern advertisements and sales literature for hedge funds and funds of hedge funds. Twenty-five firms responded that they had not used such communications during the subject time period. Thirty-nine firms responded with submissions of
FINRA Filing Requirements and Review of Regulation A Offerings
Firms do not receive hard copy fingerprint card search results. Instead, firms receive the dispositions, including CHRI details, electronically in their "Fingerprint Status Received from FBI Queue."
With Electronic Fingerprint Processing, FBI results (dispositions) are automatically uploaded into Web CRD®. The most common fingerprint statuses are described below.A status of CLER
In order to help firms manage fingerprint requirements for individuals, Fingerprint and Accounting Reports are available on Web CRD, as are the Firm Notice Queues.
The following commercial vendors have successfully completed FINRA's Electronic Fingerprint Submission (EFS) certification testing from a technical standards perspective only. The vendors listed below currently are certified to participate in EFS. The list is intended to be used as a resource only. FINRA does not endorse or recommend any of the vendors on the list. Please note that broker-
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After receiving a complete application, FINRA will review and process it within 60 calendar days.
Here's how the process works.
1. FINRA Conducts Preliminary Review of the Application
Once the application fee payment is verified and the application is submitted through FINRA's system for processing, FINRA staff will assess the application within 14 days to
Upcoming Election to Fill FINRA District Committee Vacancies
Proposed Rule Change to Establish An Administration and Delivery Fee for the Municipal Advisor Representative Examination (“Series 50 examination”)
FINRA Small Firm Advisory Board Election
