Summary
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons, particularly women and underrepresented minorities, whose personal circumstances take them away from the industry for a time. The changes to Rules 1210 and 1240: (1) provide eligible individuals who terminate any
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education Testing/Qualifications
Legal & Compliance
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their Continuing Education
JERSEY CITY, NJ and WASHINGTON, DC — Direct Edge®, the third largest stock exchange operator in the U.S., has agreed with the Financial Industry Regulatory Authority (FINRA), the independent, non-governmental regulator for all securities firms doing business with the public in the U.S., to provide market surveillance services on behalf of Direct Edge's two licensed stock exchanges.
ACTION REQUESTED
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
A review of the decimalization testing mandate and plans for Nasdaq® decimalization testing are included in this NASD Notice to Members. A select number of market
The Private Placements section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released its 2016 Regulatory and Examination Priorities Letter highlighting three broad issues – supervision, risk management and controls; and liquidity. The letter also emphasizes firm culture, conflicts of interest and ethics, and the significant role each of these plays in the way a firm conducts its business.
FINRA cites
I have no use for regulations that limit my investment choices. Free will and freedom to choose is essential to my American way of life. Authorities who make believe that they know more about me than I know about myself have exceeded the limits of government of the people, by the people, for the people. Authoritarians war against my freedom of choice and in no way represent my own best interests
I am strongly opposed any additional regulations to leveraged and inverse securities. All investments have an element of risk; by requiring a list of pre-requisites to trading these securities, you decrease the investor base with access which could add to increased volatility as well as making the acquisition and disposition of said securities much more difficult. Additionally, further
There are several regulatory implications that firms may wish to consider when establishing a presence in the cloud. It is important to keep in mind that although a firm may shift its technology infrastructure to a cloud environment, all of the regulatory requirements that are applicable in an on-prem environment continue to apply. However, cloud-based applications may contain some unique
Scottsdale, AZ — The Financial Industry Regulatory Authority (FINRA) announced today that registered personnel and other frontline staff now can learn about their compliance obligations when working with senior customers through the latest in FINRA's series of free, instructional webcasts.
The interaction of securities industry professionals and the growing senior population raises
