Firms are required annually to renew their FINRA, other self-regulatory organization (SRO) and state/jurisdiction registrations through the annual Renewal Program, which begins in the fourth quarter of each year.
The following are frequently asked questions (FAQ) regarding renewals that are applicable to broker-dealer (BD) firms. If your firm is a joint broker-dealer/investment adviser (BD/IA) firm,
CRD Renewal Program Payment Options
Understanding Your FINRA Flex-Funding Account
Last Updated: March 11, 2024Dispute Resolution Services (DRS) is publishing this guidance to remind parties and their representatives, arbitrators, and mediators that the unauthorized disclosure of a Suspicious Activity Report (SAR) is a violation of federal law that may be punishable by civil and criminal penalties. As described in greater detail below, three categories of “SAR Information”—SARs
To stay on guard and avoid becoming drawn into a scam, look for the warning signs of investment fraud.
Industry Governor (Small Firm Representative)President and CEO, Bley Investment Group, Inc.Governor Since 2018Committees: Finance, Operations & Technology Committee, Regulatory Policy CommitteeProfessional ExperiencePresident and CEO, Bley Investment Group, Inc. (2021 – Present)President, CFO, CCO, McLaughlin Ryder Investments, Inc. (2020 – 2021)Executive Vice President, Larimer Capital
2023 GOVERNANCE/ELECTION NOTICESTITLEDATE POSTEDFINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments12/22/2023Notice of Election and Ballots for FINRA Mid-Size Firm NAC Member Seat11/15/2023Notice of SFAC Election and Mailing of Ballots10/23/2023Notice of FINRA Regional Committee Elections and Mailing of Ballots10/23/2023FINRA Announces Process to Fill Upcoming
General1. Q: Why does FINRA publish the Sanction Guidelines?A: FINRA publishes the Sanction Guidelines to familiarize member firms and associated persons with the disciplinary sanctions that could result from typical securities industry rule violations.2. Q: Who develops the sanctions and fines?A: The National Adjudicatory Council (NAC), the appellate body for FINRA disciplinary actions and the