The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails that include the domain “@invest-finra.org”. FINRA recommends that anyone who clicked on any link or image in the email immediately notify the appropriate individuals in their firm of the incident.
The domain of “invest-finra.org” is not connected to FINRA and firms should delete all emails
(a) Party Portal
(1) Parties must use the Party Portal to file initial statements of claim and to file and serve pleadings and any other documents on the Director or any other party except as provided in paragraph (a)(2). The Director may exercise authority to permit the use of other means of filing or service in the case of an extended Party Portal outage or in other extraordinary
A firm is required to promptly update Form BD information by submitting amendments whenever the information on file becomes inaccurate or incomplete for any reason.Additionally, when a FINRA member firm plans to undergo a material change in business operations it is required to file a Continuing Membership Application (CMA) with FINRA’s Membership Application Program (MAP) Group prior to
Investment professionals might hold a variety of designations and other credentials, offered by a multitude of organizations. FINRA’s Professional Designations Database provides information about many of the designations you might see used, including the prerequisites and other requirements for obtaining and holding such designations
Fellowship Program Grants Military Spouses the Opportunity to Achieve the AFC Credential and Help Address Unique Financial Circumstances in Military Communities
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) and the Association for Financial Counseling and Planning Education® (AFCPE®) announced today the recipients of 2023 FINRA Foundation Military Spouse
Summary
The Securities and Exchange Commission (SEC) approved1 amendments to FINRA’s customer and industry arbitration rules to expand time for non-parties to respond to arbitration subpoenas and orders of appearance of witnesses or production of documents. The amendments also make related changes to enhance the discovery process for forum users.
The amendments are effective for cases filed on
The FINRA Board of Governors meets this week in Washington, DC. Read President and CEO Robert Cook’s email to firms previewing the agenda.
(a) GeneralExcept as otherwise provided by paragraph (b) of this Rule, each general securities member shall, with a frequency of not less than once every calendar quarter, send a statement of account ("account statement") containing a description of any securities positions, money balances, or account activity to each customer whose account had a security position, money balance, or
1. The most neglected field in investor education is equity market manipulation. New retail investors should be informed about perpetual option fail-to-delivers, married-puts, shorting via exchange-traded-funds, off-exchange trading and selling synthetic shares to manipulate a stock's price. 2. From a retail investor's perspective: An open forum where individual users can share investor
