FINRA has corrected the intermittent TRAQS stop sign error condition some clients were receiving on Monday when attempting to access the website.
Please contact FINRA Operations or call 866.776.0800 if you continue to experience issues or if there are questions regarding this notice.
Summary
FINRA reminds firms to evaluate their exposure to LIBOR (formerly, the London Interbank Offered Rate), and review their preparedness to manage LIBOR’s phase-out. To understand how firms are preparing for that phase-out, FINRA surveyed a representative cross-section of member firms, including some firms with significant trading volume or positions in LIBOR-linked securities. This Notice
This episode originally aired in April 2019. The only thing many people know about money laundering is what they’ve learned from Hollywood. So if you want to really understand what money laundering is, and more specifically, the efforts brokerage firms must take to prevent and detect it, tune in. On this episode we talk to two of FINRA’s Anti-Money Laundering experts.
FINRA has observed some TRAQS Web clients who continue to experience stop sign errors when attempting to access the TRAQS website. Closing all browser sessions and opening a new session will normally alleviate this problem.
Clients that continue to experience difficulties even after starting a new browser session should contact FINRA Operations or call 866.776.0800 so the issue can be
As you may be aware, FINRA has already begun the rollout of FINRA Gateway—your new front door to FINRA. This new platform is intended to streamline compliance functionality. Throughout the development process, we are working with our users within the industry to add value to their interaction with our systems. As a user of a FINRA system, we want to ensure you have an opportunity to provide your
Use the Certification Representative (CRep) Designation Form to designate or replace a Certification Representative for your organization to complete the Entitlement User Accounts Certification Process.
This form has specific instructions and signature requirements which must be met for processing.
Electronic Form Submission via DocuSign
This form must be completed electronically. The link
Statistical Overview of Brokerage Firms, Registered Representatives and Trading Activity
WASHINGTON—FINRA today published the 2020 FINRA Industry Snapshot, its annual statistical report on the brokerage firms, registered representatives and market activity that FINRA regulates.
The latest edition includes data ranging from the size and geographic distribution of the firms FINRA regulates to the
On This Page
Form U4 Explanation of Terms
Form U5 Explanation of Terms
Forms BD & BDW Explanation of Terms
Form BR Explanation of Terms
Form U4 Explanation of Terms
The following definitions apply to terms that are italicized in Form U4:
Affiliated
Means under common ownership or control.
Affiliated Firm
Means a broker-dealer under common ownership or control with the filing firm
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6800 Series, FINRA’s compliance rule (“Compliance Rule”) regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) to be consistent with an amendment to the CAT NMS
Q. Would it be consistent with FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and the non-cash compensation provisions of FINRA Rules 2310, 2320, 2341 and 5110 for an associated person to host a virtual business entertainment event or a video meeting with the employees of an institutional customer or third-party broker-dealer and provide food and beverage that is designed to be consumed during that event or meeting?