INFORMATIONAL
Registration Of Chief Compliance Officers
Effective Date: January 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Chief Compliance Officers
Continuing Education/Testing/Qualifications
Registration
Executive Summary
On June 19, 2001, the Securities and Exchange Commission (SEC)
In FINRA arbitration, the majority of customer cases – approximately 69% – result in settlements reached by the parties. Typically, appoximately 18% of all cases proceed to award. For more information on how cases close, view the dispute resolution statistics.
Settlement – The vast majority of settlements result in
The Customer Order Handling: Best Execution and Order Routing Disclosures topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
E.1. The phrase business as such under Exchange Act Rule 17a-4(b)(4) is not defined.34 What questions, concerns or challenges, if any, does this raise with respect to ensuring compliance with the recordkeeping requirements? Are there categories of records that are especially costly or difficult to capture or retain, and which may provide no appreciable regulatory benefit? <EA1: Ambiguity
I should be my responsibility to select the type of product I am interested to buy and to accept responsibility for the choice. Many individual stocks are even more risky. Do not take another freedom of choice. Make sure relevant information is provided and available but leave the decision up to the individuals.
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Regulatory Element
General Program (S101)
Series 6 Program (S106)
Executive Summary
NASD Rule 1120 (Continuing Education Requirements) permits the NASD, as appropriate, to designate specific Continuing Education
What types of effective educational interventions have the highest potential to influence the behavior of investors, particularly newer investors? What are the costs of implementing such interventions? A great way to influence newer investors is by informing younger generations via social media platforms. As a young adult, I know that most people (regardless of race or income status) from the age
SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR)
I will always support my God giving will to choose what I want and to invest in securities I want to choose. Just because I gave my email above, I do not wish to be sent any further information on future communications use the current United States Postal Service. Sincerely and with
I am writing to inform you that I oppose this regulatory proposal to limit access to leveraged and inverse funds. I feel that retail investors like myself are more than capable of understanding the technicals and risks of leveraged and inverse etfs. Restricting trading of these equities is a violates the principles of the free market.
