<p>NASD Rule 3010 - Supervision</p>
Board Approves 2020 Annual Financial Report; Adopts Advisory Committee Term Limits in Support of Greater Diversity and Inclusion
WASHINGTON – FINRA’s Board of Governors met on May 18-19, 2021. During the meeting, the Board approved FINRA’s 2020 Annual Financial Report, which—for the first time—will include a section on human capital describing the diversity of the self-regulatory organization’s
REQUEST FOR COMMENT
Pandemic Regulatory Relief
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal and Compliance
Operations
Registration
Senior Management
Systems
Trading
Business Continuity
Capital and Financial Reporting
Requirements
Extensions or Credit and Securities
Delivery
Filing and Reporting Requirements
Licensing
Operations
Supervision
Trade Reporting
Temporary
FINRA issued a Regulatory Notice soliciting comment regarding an innovative proposal called Comprehensive Automated Risk Data System (CARDS).
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance Operations Registration Senior Management
District Elections
Executive Summary
In early June, NASD will issue a formal Notice to Members soliciting candidates and explaining the process for nominating individuals to serve on both the District Committees and the District Nominating
The Fixed Income Mark-up Disclosure section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Overview
The following is a guide to assist applicants as they prepare and submit information and documentation for FINRA Form New Member Application (NMA). To conduct securities transactions and businesses with the investing public in the US, a broker-dealer and its associated persons must be registered with FINRA. An important step in the registration process is to seek approval for
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today marked its five-year anniversary since it was created in 2007 by the consolidation of NASD and the member regulation, enforcement and arbitration operations of the New York Stock Exchange.
Release DateSystemAreaDescriptionDecember 20, 2023FINRA GatewayFINRA Contacts System (FCS)Automated the Email Reminder Process for FCS Annual ReviewFirst email reminder will be sent to Executive Representative (ER), Designated Assistant for ER and Chief Compliance Officer on the first business day of the calendar year.Second email reminder will be sent on the 10th business day of each calendar
The Books and Records 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.
