I strongly recommend that you do Not interfere with my right to choose which investments are right for me and my family. Public investments should be just that... Public!
I shouldn't have to go through any special test or procedure in order to choose my investments.
As always, I remain an informed and consistent voter,
On this page you'll find compliance resources on different issues affecting the securities industry. FINRA provides essential background information on each of these key topics, as well as the relevant rules, notices, guidance, news releases, and investor education content for each.Advertising RegulationAlgorithmic TradingAlternative Display Facility (ADF)Annual ReportsAnti-Money
FINRA has initiated a multi-phased effort to overhaul its registration and disclosure programs, including the Central Registration Depository (CRD) -- the central licensing and registration system that FINRA operates for the U.S. securities industry and its regulators, and that provides the backbone of BrokerCheck. In June 2018, we implemented the first phase of the transformation through a new
Account Creation1. I am a new user and need to request an enrollment. How do I log into TESS?Please visit our “Enroll for a Series Exam” page and select the appropriate link for the exam you are requesting. Note that before you can enroll as a new user for an exam using TESS, you must register to create a profile. Use the following steps to register:Click on Get Started.Click on “Create Account
(a) Failure to cooperate in the exchange of documents and information as required under the Code may result in sanctions. The panel may issue sanctions against any party in accordance with Rule 12212(a) for:
• Failing to comply with the discovery provisions of the Code, unless the panel determines that there is substantial justification for the failure to comply; or
(a) Failure to cooperate in the exchange of documents and information as required under the Code may result in sanctions. The panel may issue sanctions against any party in accordance with Rule 13212(a) for:
• Failing to comply with the discovery provisions of the Code, unless the panel determines that there is substantial justification for the failure to comply; or
Andrew Dobry joined FINRA in 2020 as a Vice President within Internal Audit. Andrew leads the Information Technology Audit Team, which provides assurance over the security and integrity of FINRA’s information assets.
Mr. Dobry has over 35 years of experience in corporate audit roles. Prior to joining FINRA, Mr. Dobry was employed by Booz Allen Hamilton, with roles as Chief Audit Executive and
A critical function performed by FINRA Office of General Counsel (OGC) staff is to provide broker-dealers, attorneys, registered representatives, investors, and other interested parties with interpretive guidance relating to FINRA's rules. OGC staff provides such guidance both orally and in writing.
Disclaimer for investor tools and calculators
I would like clarification on a timeline for these changes to be implemented. How realistic is this change and how far along is it? In addition, do you have any information on what the history would look like and if any historical data will be freely available to us or is it going to be only on a go-forward basis?
