Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 9231 to provide for the compensation of all panelists that serve in connection with a FINRA disciplinary hearing, regardless of whether it is an Extended or non-Extended Hearing.
Summary
FINRA warns member firms of a widespread, ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA officers, including Bill Wollman and Josh Drobnyk (see Attachment A). These emails have a source domain name “@broker-finra.org” and request immediate attention to an attachment relating to your firm. In at least in some cases, the emails do not actually include
During your first week at a new job, you typically focus on the basics – locating your office, setting up your computer and getting acquainted with new colleagues and acronyms. If you're Greg Ruppert, who joined FINRA on March 23, 2020 as the new Executive Vice President, National Fraud and Financial Crimes Detection Programs (NCFC), you mark your first week by establishing FINRA's
In addition to disciplinary proceedings brought by FINRA’s Department of Enforcement, the Office of Hearing Officers also hears expedited proceedings. This Guide describes some of the Rules for expedited proceedings, which are fully set forth in Rule 9561 and the Rule 9550 and 9100 Series of FINRA’s Code of Procedure.
The purpose of this Guide is to assist the reader in understanding FINRA’s
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to add industry member compliance rules relating to the Consolidated Audit Trail (“CAT”) to FINRA’s Minor Rule Violation Plan (“MRVP”).
In an effort to communicate technical changes to its trade reporting and quotation facilities - TRACE, ORF, and ADF (and related systems) with FINRA member firms, FINRA is introducing a new web page, on FINRA.org, where firms may review upcoming market transparency initiatives. This page will be updated on a regular basis in addition to technical notices that will continue to be posted and
Executive Summary
The annual meeting of FINRA firms will take place on or about Friday, August 7, 2020, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Wednesday, July 8, 2020.
The purpose of
When it became clear that FINRA was going to move to a fully remote work environment in early March, most of the focus was on how to continue conducting business in a fully digital environment. But several functions FINRA performs still require sending materials in the mail to firms and individuals. One example is the Regulatory Review group within Credentialing, Registration, Education and
FINRA has updated the Alternative Display Facility (ADF) User Guide and ADF FIX Specification for Trade Reporting to now include the Members Exchange (MEMX).
Each document’s Revision History illustrates these changes and impacted fields.
Questions regarding this notice should be sent to FINRA Product Management or call (866) 899-2107.
(a) In response to a written inquiry, electronic inquiry, or telephonic inquiry via a toll-free telephone listing, FINRA shall release through FINRA BrokerCheck information regarding:
(1) a current or former FINRA member or a current or former member of a registered national securities exchange that uses the Central Registration Depository ("CRD") for registration purposes ("CRD
