FINRA is conducting a review of firm practices related to the acquisition of customers through social media channels and how firms manage their obligations related to information collected from those customers and other individuals that may provide data to firms. Please note that each item requested is specific to the subsection header.
The Limited Review program can help to streamline the review process and provide faster clearance for non-shelf public offering filings.
Gifts Rule
FINRA Rule 3220 (Influencing or Rewarding Employees of Others) (the Gifts Rule) prohibits any member or person associated with a member, directly or indirectly, from giving anything of value in excess of $100 per year to any person where such payment is in relation to the business of the recipient’s employer. The rule also requires members to keep separate records regarding gifts and
Crypto assets—also known as digital assets—are assets that are issued or transferred using distributed ledger or blockchain technology. They include, but are not limited to, so-called “virtual currencies,” “coins,” and “tokens.” A particular crypto asset may or may not meet definition of a “security” under the federal securities laws. FINRA rules that relate to securities, or that do not depend on securities status, may impose obligations on the crypto asset-related activities of member firms and associated persons.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 17, 1985, 16 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,194. These 16 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
Before investing in stocks, also referred to as equities, take time to gather the information necessary to make an informed investment decision, a process commonly known as due diligence.
P & M CORPORATE FINANCE, LLC10 SOUTH RIVERSIDE PLAZA, 9TH FLOOR, CHICAGO, IL 60606P G BOOLE, LLC18 NORTH MAIN STREET, SUITE 115, SHERBORN, MA 01770Mailing Address: 30 PEDERZINI DRIVE, MEDFIELD, MA 02052P. A. N. SECURITIES, LP45 GLOVER AVENUE, 7TH FLOOR, NORWALK, CT 06850P.J. ROBB VARIABLE, LLC6075 POPLAR AVE, SUITE 400, MEMPHIS, TN 38119P2 CORPORATE FINANCE, LLC964 EULALIA ROAD NE, SUITE
2025 FINRA Annual Regulatory Oversight ReportThe Consolidated Audit Trail (CAT) 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.SEC Rule 613 requires FINRA
Summary
In response to the coronavirus (COVID-19) pandemic, member firms have made rapid and unprecedented changes to their business operations in order to prioritize the health and safety of firm personnel and investors, while maintaining the public’s access to capital markets. These changes include widespread use of remote offices and alternative work arrangements and new and expanded methods
