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Indemnification of Directors, Officers, Employees, Agents, and Committee Members
Sec. 7.1  (a) FINRA Dispute Resolution shall indemnify, and hold harmless, to the fullest extent permitted by Delaware law as it presently exists or may thereafter be amended, any person (and the heirs, executors, and administrators of such person) who, by reason of the fact that he or she is or was a Director, officer, or employee of FINRA Dispute Resolution or a committee member, or
Regulatory Notice 17-27
Guidance to Members Affected by Hurricane Harvey
Notice to Members 06-31
REQUEST FOR COMMENT Pandemic Regulatory Relief SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal and Compliance Operations Registration Senior Management Systems Trading Business Continuity Capital and Financial Reporting Requirements Extensions or Credit and Securities Delivery Filing and Reporting Requirements Licensing Operations Supervision Trade Reporting Temporary
Key Topics - A to Z
AAccount StatementsActive Duty Military LeaveAdjudication & DecisionsAdvertising RegulationAdvisory CommitteesAlgorithmic TradingAlternative Display Facility (ADF)Annual AuditAnnual Regulatory and Examination Priorities LetterAnnual ReportsAnnuities and InsuranceAnti-Money LaunderingArbitration & MediationAsset-Backed Securities / Securitized ProductsAutomated Data Delivery System
Schedule A to the FINRA Sanction Guidelines [Version up to May. 1, 2018]
Violations That Generally Are Not Subject to Censure When Monetary Sanctions of $7,000 or Less Are Imposed Quality of Markets Violations •   ACT Violations—FINRA Rules 7210A–7280A, 7310–7380 and 7110B–7170B •   Backing Away •   Best Execution and Interpositioning •   Confirmation of Transactions (SEC
#InThisTogether: Raj Pillai, The Zoom Guy
First in a series highlighting colleagues working behind the scenes to help FINRA achieve our mission. Raj Pillai is no stranger to crises. Y2K. 9/11. The Northeast blackout of 2003. Superstorm Sandy. He has worked through them all, the latter at FINRA, which he joined in 2011. “There are different challenges with each situation. Every time, we’ve gotten better and better in terms of technology
National Study by FINRA Foundation Finds U.S. Adults’ Financial Capability Has Generally Grown Despite Pandemic Disruption
On many measures of financial capability, U.S. adults generally fared better in 2021 than in the decade leading up to the pandemic, according to the FINRA Investor Education Foundation’s National Financial Capability Study. However, the research also shows that Americans’ financial well-being remains uneven across different demographic groups.
Notice to Members - April 1999
Various updates.
The Report of the Independent Review of FINRA's Dispute Resolution Services – Arbitrator Selection Process
The Audit Committee of the FINRA Board of Governors engaged Lowenstein Sandler LLP to conduct an independent review in connection with a Fulton County, Georgia Superior Court decision vacating an arbitration award in favor of respondent Wells Fargo Clearing Services, LLC. The Court of Appeals of Georgia reversed the Fulton County, Georgia Superior Court decision finding no evidence of an agreement between Wells Fargo and FINRA. Furthermore, the Court of Appeals of Georgia found nothing that indicated Wells Fargo manipulated the arbitrator pool in the subject arbitration.
Notice to Members 98-48
Executive Summary On May 18, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Interpretive Material 2110-1 (IM-2110-1) and Rule 2720, revising certain provisions of the Free-Riding and Withholding Interpretation (Interpretation). These amendments address direct and indirect owners of broker/dealers, investment