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Except for the FINRA Rule 9700 Series, all capital acquisition broker members shall be subject to the FINRA Rule 9000 Series, unless the context requires otherwise, provided, however, that:
(a) the term "associated person" as used in the FINRA Rule 9000 Series shall mean "associated person of a capital acquisition broker" or "person associated with a
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Retrospective Rule Review
Comment Period Expires: May 14, 2015
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Senior Management
Systems
Key Topics
Continuing Membership Application
Membership Agreement
This Notice discusses the guidance and other resources available to assist members with their compliance efforts in connection with the Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI).
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
Comprehensive Automated Risk Data System
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Risk
Senior Management
Technology
Key Topics
Reporting Requirements
Referenced Rules & Notices
FINRA Rule 4311
Regulatory
Proposed Rule Change to Adopt FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the Consolidated FINRA Rulebook
FINRA’s Membership Application Program Group (MAP) serves as the entry point to the securities industry by ensuring that prospective and current FINRA members meet FINRA’s Standards for Admission (Standards). Prospective FINRA members must seek approval for membership through the submission of a New Member Application (NMA). Existing FINRA members must file a continuing membership application
Agenda | May 16-18, 2023
All times are listed in Eastern Time. All sessions are streaming live.
Monday, May 15
5:00 p.m. – 7:00 p.m.
Registration
Tuesday, May 16
7:30 a.m. – 6:00 p.m.
Registration
7:30 a.m. – 5:30 p.m.
FINRA IDEA – Innovation, Demonstration & Engagement Area
Networking With Exhibitors
7:30 a.m. – 10:00 a.m.
General Breakfast &
(a) Quid Pro Quo Allocations
No member or person associated with a member may offer or threaten to withhold shares it allocates of a new issue as consideration or inducement for the receipt of compensation that is excessive in relation to the services provided by the member.
(b) Spinning
(1) No member or person associated with a member may