/**/
Table of Contents
Figure 1.2 FINRA-Registered Representatives by Firm Size
Table 1.2 FINRA-Registered Representatives by Firm Size, 2017–2021
Figure 1.3 Average and Median Number of FINRA-Registered Representatives per Firm
Table 1.3 Average and Median Number of FINRA-Registered Representatives per Firm, 2017–2021
Figure 1.4 Securities Industry Registered Individuals by Type of
Summary
FINRA seeks comment on a proposal to accelerate arbitration case processing when requested by parties who are seriously ill or are at least 75 years old. The proposal would help ensure that these parties are able to participate meaningfully in FINRA arbitration by shortening certain case processing deadlines for parties and arbitrators under the Codes.
The text of the proposed
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the pilot period related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) to the close of business on April 18, 2022.
Thank you for your letter of February 9, 2022, requesting information regarding the arbitrator selection process FINRA Dispute Resolution Services (DRS) uses, and how at process. FINRA takes this issue very seriously and is fully committed to ensuring the integrity of the arbitrator selection process.
Summary
FINRA is soliciting comment on a proposal to establish a new trade reporting requirement for transactions in over-the-counter options on securities with terms that are identical or substantially similar to listed options. FINRA is proposing to require firms to report this information to FINRA on a daily basis (end-of-day) for regulatory purposes only.
Questions regarding this Notice
Asset allocation means deciding what portion of your portfolio to invest in different asset classes, like stocks, bonds and cash. Diversification is the spreading of your investments both among and within different asset classes. And rebalancing means making regular adjustments to ensure you are hitting your target allocation. All are important tools in managing investment risk.
Every relationship involves taking that all-important first step. Your relationship with money and investing is no different. Explore the full course sequence or jump right into one of the topics below.
As announced by the Board of Governors of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions’ daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine
In April 2009, the FINRA Board of Governors established a special review committee to review FINRA’s examination program, with particular emphasis on the examinations of firms associated with R. Allen Stanford and Bernard L. Madoff. The committee was asked to “recommend ... changes in the examination program, where appropriate, to improve member oversight and FINRA’s fraud detection capability,” and to consider management’s “monitoring [of] compliance with examination program policies.”