FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
FINRA has developed online guides to help firms understand how to use some of FINRA’s report cards. FINRA will continue to publish online guides as new report cards become available.
Security Futures Risk Disclosure Statement
OATS is in the process of upgrading the IFT/FTP servers. Below is important information for IFT and FTP users regarding the changes:
Sharing Sensitive Information Can Pose Potential Privacy and Security Risks
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert to help consumers consider the risks of sharing personal financial account information and other sensitive information with data aggregators.
Companies that offer financial data aggregation services put information about
The Neutral Corner - Volume 1—2018
Mission Statement
An Introduction to FINRA’s National Arbitration and Mediation Committee (By Steven B. Caruso and Darya Geetter)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
DR Portal News and Q&As
NYC Bar Securities Arbitration & Mediation: Hot Topics 2018 (May 15, 2018)
American
FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
WASHINGTON — Women consistently lag behind men on financial and investor literacy scores across generations of boomers, gen Xers and millennials, according to a multi-year study by the FINRA Investor Education Foundation.
In 2015, the gap in financial literacy between boomer men and women was 19 percent, and for gen Xers 18 percent. But for millennials, it was only 10 percent.
”It is
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Aegis Capital Corp. $550,000 for failing to have adequate supervisory and anti-money laundering (AML) programs tailored to detect "red flags" or suspicious activity connected to its sale of low-priced securities.
FINRA found that Aegis’ supervisory system for trading in delivery versus
This User Support page provides links to help and training resources for users of Web CRD.
