The Cybersecurity and Technology Management topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
Ombuds (o Ombudsman) es un término originario de Suecia y significa representativo. La International Ombuds Association (Asociación Internacional de Ombuds) describe a un ombuds como "alguien que ayuda a individuos y grupos en la resolución de conflictos o preocupaciones".
La Oficina del Ombuds de FINRA es un recurso independiente, neutral y confidencial para cualquier persona que
Each Industry Member shall submit to the Central Repository information sufficient to identify such Industry Member, including CRD number and LEI, if such LEI has been obtained, prior to such Industry Member's commencement of reporting to the Central Repository and in accordance with the deadlines set forth in Rule 6880, and keep such information up to date as necessary.
(a) Initial Covered Securities Loans (1) When and How Initial Covered Securities Loans Are Reported For Initial Covered Securities Loans, Covered Persons must report the information specified in paragraph (a)(2) of this Rule to SLATE, as provided in this paragraph (a)(1): (A) An Initial Covered Securities Loan effected on a business day at or after 12:00:00 a.m. Eastern
SEC Grants Exemption From Rule 15c2-11 For Securities Being Removed From The OTCBB Pursuant To The NASD Eligibility Rule
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2017 Annual FINRA Election Cycle and Procedures Overview
The Anti-Money Laundering section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Breakpoint discounts are volume discounts to the front-end sales load charged to investors who purchase Class A mutual fund shares. The extent of the discount depends on the amount invested in a particular family of funds. For example, a mutual fund might charge a front-end load of 5.75 percent for share purchases of less than $50,000, but reduce the load to 4.50 percent for investments between $
FINRA Rule 2360(b)(23)(C) requires member firms conducting transactions in exchange-listed options to establish fixed procedures for allocating options exercise assignment notices to short options positions in their customer accounts. Firms may elect to allocate exercise assignment notices on: (1) a “first in-first out” basis (FIFO); (2) a random selection basis; or (3) another equally random
