TO: All NASD Members and Other Interested Persons
On November 12, 1985, the Securities and Exchange Commission approved a new Article III, Section 40 of the NASD Rules of Fair Practice (SEC Release No. 34-22617). The rule establishes new requirements for the private securities transactions of persons associated with members, and entirely replaces the Private Securities Transactions
Rules & Guidance
FINRA Manual
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Capital Acquisition Broker Rules
Funding Portal Rules
SEC Rules and Regulations
Temporary Dual FINRA-NYSE Member Rule Series
Immediately Effective Rule Changes Pending SEC Notification
Recently Approved Rule Changes Pending Determination of Effective Date
Retired Rules
Corporate Organization
Restated Certificate of
Thursday, December 7All times are listed in Eastern Time.10:30 a.m. – 10:45 a.m.Opening Remarks10:45 a.m. – 11:30 a.m.Panel 1: Credit RatingsTopics:Rules of the RoadUnderstanding Bond Ratings: Methodologies, Consistency of Application, and Assurance of RatingsCase StudyTrends11:30 a.m. – 11:40 a.mBreak11:40 a.m. – 12:25 p.mPanel 2: Pricing Issues (New and Remarketing)Topics:Compliance
On this page you'll find compliance resources on different issues affecting the securities industry. FINRA provides essential background information on each of these key topics, as well as the relevant rules, notices, guidance, news releases, and investor education content for each.Advertising RegulationAlgorithmic TradingAlternative Display Facility (ADF)Annual ReportsAnti-Money
With over 20,000 companies whose shares trade either on a U.S. exchange or in over-the-counter markets, there’s ample room for confusion. Fundamental research and an understanding about the way in which stocks are listed and traded can go a long way toward helping you make sound investment decisions.
Eileen Famiglietti, Vice President, Enterprise Risk Management (ERM), leads the ERM program, which provides transparency around the enterprise-level risks FINRA faces in the execution of its mission, strategic goals and key business objectives. The program helps inform FINRA's strategic planning, budgeting and resource allocation processes, as well as its decision making. She oversees the
WASHINGTON—FINRA today released its 2020 Risk Monitoring and Examination Priorities Letter, highlighting new priorities as well as identifying areas of ongoing concern that FINRA will continue to focus on in the coming year.
New for this year is a focus on Regulation Best Interest (Reg BI) and Form CRS (Client Relationship Summary). In the first part of the year, FINRA will review firms’
Following are FAQs about FINRA registration and qualification requirements. Click on the links below to view all sections of the FAQs.
WASHINGTON—FINRA announced today that Tom Selman, Executive Vice President for Regulatory Policy and Legal Compliance Officer, is retiring after 24 years at the organization.
Selman, who joined in the organization in 1996, oversees a wide range of programs, including Corporate Financing, Advertising Regulation, the Office of Financial Innovation, the Office of Disciplinary Affairs and the
Background
In March 2017, FINRA issued a Special Notice on its engagement programs as part of FINRA360. Based on comments and suggestions regarding the usefulness of some advisory committees, their membership and their effectiveness as a vehicle for dialogue between FINRA and member firms, FINRA is making several changes.
Operational Impact of Rule Changes
Rather than establishing a new