Regulators to Discuss Protecting Seniors During World Elder Abuse Awareness Day
WASHINGTON—The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA) and FINRA will be co-hosting the Senior Safe Act Webinar: Identifying and Reporting Suspected Exploitation. The discussion will build on the SEC, NASAA and FINRA’s joint training released in 2021
These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're prepared for the inevitable. On this episode, we're catching up with two members of FINRA's Complex Investigations and Intelligence Team for an update on the cyber threat landscape and what firms should be thinking about and doing in response to the latest trends.
In observance of Christmas Day, FINRA’s Market Transparency Reporting Systems will be closed on Friday, December 24, 2021. 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,
How do I entitle someone to access an eFOCUS report?
Where are eFOCUS filings located in the redesigned FINRA Gateway?
How do I transmit an eFOCUS filing to my clearing firm?
When are my eFOCUS filings due?
Where can I see previously filed eFOCUS reports?
How do I amend a submitted eFOCUS report?
How do I print an eFOCUS report?
We are a newly registered member firm and when I
The FINRA Investor Education Foundation (FINRA Foundation) today awarded Doug Shadel, Ph.D., the 2023 Ketchum Prize—its highest honor—in recognition of his outstanding service and research on protecting consumers, particularly vulnerable Americans.
*In response to requests for an extension, the comment period has been extended to February 21, 2023.
Summary
FINRA has begun developing a machine-readable rulebook to assist users to more readily analyze and search FINRA’s rules. As part of this initiative, FINRA is creating an embedded taxonomy (which is a method of classifying and categorizing a hierarchy of key terms and concepts) within
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Senior ManagementLegal & ComplianceOperations*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to the Rules of Fair Practice to require member firms to send periodic account statements to customers. The last voting date is July 22, 1992. The text
I wish to maintain my right to be able to choose the public
investments that are right for my family. Public investments should be available to all of the public,not just the privileged.
I am an experienced in investment and especially high risk start-up or early stage business opportunities. I have a deep understanding of the techno industries and processes, many of which are embedded in early
Beginning June 1, 2020, as described in Regulatory Notice 19-30 members must report transactions in U.S. Treasury Securities executed to hedge a primary market transaction [that meets the FINRA Rule 6710 definition of “List or Fixed Offering Price Transaction” or “Takedown Transaction”] with an appropriate identifier. The Sale Condition 2 Identifier, available via the TRAQS
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Senior Management
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Institutional
Legal & Compliance
Mutual Fund
Operations
Syndicate
Systems
Trading
Training
Executive Summary
On May 11, 1995, the Securities and Exchange Commission (SEC or Commission) approved amendments to its rules that would implement two alternative methodologies proposed by the securities industry to expedite
