WASHINGTON — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2015 National Compliance Outreach Program for Broker-Dealers. The program is intended to provide an open forum for regulators and industry professionals to discuss compliance practices and exchange ideas on effective compliance
LPL Ordered to Pay Approximately $1.7 Million in Restitution to Customers
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has censured LPL Financial LLC and fined it $10 million for broad supervisory failures in a number of key areas, including the sales of non-traditional exchange-traded funds (ETFs), certain variable annuity contracts, non-traded real
Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H)
FINRA Requests Comment on Proposed Exemption to the Trading Activity Fee for Proprietary Trading Firms
The staff granted an exemption from FINRA Rule 5131(b) with respect to purchases of “new issues” by the National Railroad Retirement Investment Trust.
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The Membership Application Program (MAP) Group has a dedicated front-line team of examiners (the Triage Group) to conduct an initial assessment of each New Member Application, Continuing Membership Application, Materiality Consultation, Membership Agreement Change and Two Principal Waiver.
During this initial assessment, the Triage Group evaluates the risk, complexity,
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Testimony of Chairman and CEO, Richard Ketchum, Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list. Please refer to Regulatory Notice 17-30, FINRA Rule 1220 and, regarding retired exam categories, NASD Rule 1032 for further details.
Series 6 - Investment Company Products/Variable Contracts Limited Representative
Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list. Please refer to Regulatory Notice 17-30 and FINRA Rule 1220 for further details.
Series 4 - Registered Options Principal Examination (OP)
Covered activities include supervising a member's options