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
You might know if the stock market is going up or down, but do you know what sectors are driving returns? The use of sectors is one of the most common ways to characterize markets, and the most used system is the Global Industry Classification System (GICS).
SPACs, Margin Debt and CAT Among New Data Categories
WASHINGTON – FINRA today published the 2022 FINRA Industry Snapshot, the annual statistical report on the brokerage firms, registered representatives and market activity that FINRA oversees. This year’s edition adds new data about special purpose acquisition companies (SPACs), customer margin debt, the Consolidated Audit Trail (CAT) and other
My investment experience has been limited to the last few years, so I can’t pretend to have a comprehensive understanding of every law, rule, guideline, parameter, and standard operating procedure that financial institutions operate in accordance with. However, I can say with certainty that neither do major financial institutions responsible for the behavior of our markets. If the role of a
Board Approves Rule Proposals, Reaffirms Financial Guiding Principles and Appoints NAC, SFAC and Regional Committee Members
WASHINGTON – FINRA’s Board of Governors met on Dec. 2-3. During the meeting it approved three rule proposals, reaffirmed FINRA’s Financial Guiding Principles, appointed members to the National Adjudicatory Council (NAC) and the Small Firm Advisory Committee (SFAC), received
FINRA announced today that it has appointed Bill St. Louis as Head of Enforcement, effective immediately. St. Louis, an Executive Vice President, was most recently head of FINRA’s National Cause and Financial Crimes Detection Program (NCFC). St. Louis will be responsible for the management of approximately 350 enforcement staff in 11 offices across the United States and will report directly to FINRA President and CEO Robert Cook.
WASHINGTON—FINRA today announced that it has released new guidance regarding credit for extraordinary cooperation in investigations. Regulatory Notice 19-23 supplements prior FINRA guidance, providing additional information about “extraordinary cooperation” respondents can provide to substantially assist FINRA in meeting its goals of investor protection and market integrity. To recognize and
In observance of Good Friday, FINRA’s Market Transparency Reporting Systems will be closed on Friday, April 7, 2023. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA
2021 Report on FINRA’s Examination and Risk Monitoring Program (February 2, 2021)
This Report on FINRA’s Risk Monitoring and Examination Activities (the Report) is designed to inform member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations. For selected regulatory obligations, the Report: (1) identifies the applicable rule and key related
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
