The FINRA Board of Governors will hold its first meeting of the year next week. As the capital markets landscape continues to evolve through new products, new technologies and new services being offered to investors, the Board will discuss how FINRA should evolve as well to support innovative and vibrant markets and capital formation while protecting investors and safeguarding market integrity.
At FINRA, we do more than just ensure the broker-dealer industry operates fairly and honestly. One of our core values is innovation. To cultivate a mindset for pioneering innovative solutions, we constantly create opportunities for our staff to enhance their current skills, add new skills, and we equip them with the cutting-edge tools. Our goal is to empower them to shape and grow their career.
" Publication of Short Interest for Exchange-listed Equity Securities" Why are firms are currently allowed to hold any unreported open short positions? In the OTC market, one firm's large short position could potentially destroy a company. " Content of Short Interest Data" The more data points you collect and publish, the better. A free and fair market means transparency
Stay current on rules and regulations in settings designed to promote timely learning and sharing with peers, regulators and other financial services professionals. FINRA Conferences and educational events are ideal for compliance and legal professionals, supervisors, branch and main office staff, IT and operations professionals, and others in the financial services industry.FINRA Conferences and
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November. FINRA publishes Final Statements in January to confirm or reconcile the actual renewal fees BD and IA firms owe after Jan. 1, 2024.
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Senior ManagementLegal & ComplianceMutual FundRegistration
Executive Summary
On January 18, 1993, the NASD's Board amended its Public Disclosure Program to make additional regulatory information on its members and associated persons available to the public. The Board's action will expand this program to include civil judgments and NASD arbitration
FINRA views the protection of senior investors, as well as baby boomers who are retired or approaching retirement, as a top priority. Because a large number of American investors are approaching retirement and control a substantial portion of investment assets, FINRA encourages firms to review and, where warranted, enhance their policies, procedures and practices, in light of the special issues common to many senior investors. For example, a firm's procedures and controls should take into consideration the age and life stage (whether pre-retired, semi-retired or retired) of their customers. Of particular concern to FINRA is the suitability of recommendations to senior investors, communications targeting older investors, and potentially abusive or unscrupulous sales practices or fraudulent activities targeting senior investors.
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Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(6)
Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(7)
Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(6)
A member must submit a letter requesting a materiality consultation for specified changes in ownership, control, or business operations,
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity. The 2025 FINRA Regulatory Oversight Report provides just that. On this episode, FINRA’s regulatory leaders join us to discuss key takeaways from the report.
Summary
Member firms are required to make reasonable efforts to obtain the name of and contact information for a trusted contact for a non-institutional customer’s account. This Notice summarizes member firms’ regulatory obligations, discusses the benefits of trusted contacts in administering customers’ accounts, highlights customer education resources and shares effective practices member firms
