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FINRA Enforcement works tirelessly on the front lines of investor protection, and this tremendous undertaking demands steadfast leadership. On this episode of FINRA Unscripted, we are reintroduced to Bill St. Louis, FINRA's new Executive Vice President and Head of Enforcement, to learn more about what's on the horizon for Enforcement in the new year.
Succession planning is important not just for customers and representatives but can even be a matter of life or death when it comes to the continued existence of a firm. On this episode, we hear how and why firms should plan for the expected and unexpected in life.
FINRA has adopted a short-form membership application process for certain firms that must become FINRA members due to the recent amendments to Rule 15b9-1 of the Securities Exchange Act of 1934. Firms that are eligible for the short-form membership application process also must have been a member of a national securities exchange with which FINRA has had a regulatory services agreement for the 12-month period prior to August 23, 2023. FINRA has further adopted a partial waiver of the new membership application fee for those firms that apply for FINRA membership through the short-form membership application process. These rule changes became effective on October 30, 2023.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) today issued What to Expect When You Open a Brokerage Account, a step-by-step guide to help investors opening new investment accounts.
In March, Stephanie Dumont became the new Executive Vice President of FINRA’s Market Regulation and Transparency Services department. On this episode, we sit down with Stephanie to hear her priorities, her vision for the department, and how FINRA is responding to recent market events.
A few new deadlines from the ongoing securities industry Continuing Education Transformation are right around the corner. On this episode, we hear how the Maintaining Qualifications Program is progressing and what firms can expect in with regard to changes to the Continuing Education Regulatory Element in the months ahead.
Sec. 12.5 Any records maintained by FINRA Regulation in the regular course of business, including its stock ledger, books of account, and minute books, may be kept on, or be in the form of, magnetic tape, computer disk, or any other information storage device, provided that the records so kept can be converted into clearly legible form within a reasonable time.
Amended by SR-FINRA-2008-046 eff
(a) FINRA will request guidance from the MSRB in interpretation of the rules of the MSRB. FINRA also will provide information to the MSRB about the enforcement actions and examinations pertaining to municipal securities brokers, municipal securities dealers, and municipal advisors conducted by FINRA regarding the Exchange Act and the rules and regulations thereunder and the rules of the MSRB,
FINRA Compliance Workshops are informal, interactive learning opportunities that provide 2 – 3 hours of in-depth educational content on key compliance topics. Workshops are designed to provide industry practitioners the opportunity to learn from and engage with FINRA staff and subject matter experts and peers in a small group setting.The Protecting Vulnerable Adults and Seniors from Financial
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined TradeStation Securities, Inc., E*Trade Securities, LLC and CIBC World Markets Corp. a total of $1.6 million for multi-year violations relating to FINRA's Order Audit Trail System (OATS) rules and related supervisory failures.