When you terminate your registration with FINRA, you remain subject to FINRA’s jurisdiction for at least two years. For example, you may be asked to provide information, documentation or to testify on the record during a FINRA examination or investigative process. Use the links to the left to learn more about your responsibilities as a former registered representative, including how to dispute
For individuals who are currently registered reps or employed with a firm, you should work with your firm’s compliance department to make sure that you are properly registered, provide your firm with timely updates to your record and understand your obligations as a Registered Rep.
While your firm manages most of your information, you can use the Financial Professional Gateway (FinPro) system to
The Neutral Corner - Volume 3—2018
Mission Statement
Special Proceeding for Simplified Arbitration
Office of Dispute Resolution and FINRA News
Case Filings and Trends
DR Portal News
Use the Most Current Version of Scripts and Forms
Tenth Annual Securities Dispute Resolution Triathlon (October 13 – 14, 2018)
2018 Demographic Survey
New York State Bar
The purpose of this notice is to make sure you understand and agree to the Qualification Examinations Rules of Conduct for examinations administered in test centers or remotely. You are required to agree to all of the following Rules of Conduct before starting your examination.
Testing personnel are NOT authorized to grant exceptions to any of these rules.
Personal Items
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The FINRA Board of Governors meets this week in New York. Read President and CEO Robert Cook’s email to firms previewing the agenda.
Test Your SIE Knowledge
Get firsthand experience with a free practice test for the Security Industry Essentials® (SIE®) Exam.
Answer 75 multiple-choice questions that are similar to those you might find on the SIE exam.
Proceed at your own pace. (The practice test is not timed, but you will have 1 hour and 45 minutes to take the SIE exam.)
Get feedback at the end to see what you know and
Summary
FINRA is introducing enhancements and presentation changes in the Central Registration Depository (CRD®) system that relate to the implementation of FINRA’s restructured qualification examination program and the adoption of consolidated FINRA registration rules. These changes, effective October 1, 2018, principally affect the Examination Requests and SRO Registrations sections.
FINRA Reminds Firms of Their Obligations Regarding Transactions in OTC Equity Securities Quoted Pursuant to a Submitted Form 211
FINRA has amended the schedule for the TDDS 2.0 data feed bandwidth increase. Beginning Monday, December 3, 2018, FINRA will increase the bandwidth rate for the Trade Data Dissemination Service 2.0 (TDDS 2.0) vendor feed from 800 kilobits per second (kbps) to 2,500 kilobits per second (kbps). This bandwidth adjustment was previously scheduled to take place on October 22, 2018.
Testing
FINRA
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Capital Acquisition Broker (“CAB”) Rule 331 (Anti-Money Laundering Compliance Program) to reflect the Financial Crimes Enforcement Network’s (“FinCEN”) adoption of a final rule on Customer Due Diligence Requirements for Financial
