(a) Each carrying or clearing member shall submit to FINRA, or its designated agent, at such times as may be designated, or on an ongoing basis, in such form and within such time period as may be prescribed, such financial and operational information regarding the member or any of its correspondents as FINRA deems essential for the protection of investors and the public interest.
(b) Every
This index provides a categorized reference of FINRA regulatory notices pertaining to communications with the public, marketing materials and advertising practices. Financial professionals can locate specific guidance by topic to ensure compliance with FINRA's advertising standards and rules.Notices by TopicAccount Statements: 08-77Auction Rate Securities: 08-21Bond Mutual Fund Volatility/
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Senior Management
Government Securities
Internal Audit
Legal & Compliance
Executive Summary
The Department of the Treasury (Treasury) recently approved amendments under the Government Securities Act of 1986 (GSA) that establish risk assessment rules for government securities broker/dealers registered under Section 15C (Section 15C broker/dealers) of
On February 27, 2014, the SEC approved FINRA's proposed rule filing SR-FINRA-2013-050. The approved amendment to the OATS rules requires firms to express time in milliseconds when reporting order information to OATS if the firm's systems capture time in milliseconds, effective April 7, 2014.
I'm a retail trader. I'm glad strongly in favor of enhanced short and FTD reporting requirements. Knowing the true short interest and quantity of FTDs on a security are important metrics for me when I'm evaluating an investment. There are currently too many ways for large players in the system to obfuscate this information. Please do everything in your power to ensure that true
Pursuant to a Securities and Exchange Commission request, FINRA has agreed to make reported short sale trade data publicly available. FINRA will make two types of files available: (1) Daily Short Sale Volume Files and (2) Monthly Short Sale Transaction Files.
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent cybersecurity risks at third-party providers (commonly referred to as third-party vendors) impacting member firms.
Recordings of sessions are available to FINRA member firms and CRCP graduates. View the recorded sessions from the 2020 FINRA Cybersecurity Conference, and receive access to all conference materials. View the conference brochure for a list of sessions and their descriptions.
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FINRA Member Firms
CRCP Graduates
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The Series 14 exam — the Compliance Officer Qualification Exam (CR) — assesses the competency of an entry-level principal to perform their job as a compliance officer.
The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs.
