FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
Join FINRA staff and industry panelist as they outline strategies to help you and your staff manage and diffuse emotional callers. During the session, panelists explore scenarios and provide tips on how to manage angry, frustrated, or emotional clients.
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. It is very important that you express your views in your own wordsyour comments are more likely to be taken seriously by FINRA if they reflect your own experience and perspective. Not only do you have the
August 2021
FINRA is conducting a review of Firm Name practices and controls related to the opening of options accounts and related areas, including account supervision, communications and diligence.
The requests below pertain to both self-directed accounts and accounts in which registered representatives recommended options but excludes both institutional1 and managed accounts and covers the
TRACE Reporting of OTC Transactions in Listed Bonds
FINRA's e-learning library and individual courses offer training on a range of compliance topics, including anti-money laundering, variable annuities and ethics.
WASHINGTON – FINRA today published its
Report on Selected Cybersecurity Practices - 2018
, a detailed review of effective information-security controls at securities firms. The report represents the newest initiative in FINRA’s ongoing effort to help broker-dealers – including small firms – further develop their cybersecurity programs.
“Securities firms rate
Summary
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November and
INFORMATIONAL
MSRB Rule G-37 Exemptive Relief
SUGGESTED ROUTING
KEY TOPICS
Fixed Income
Internal Audit
Legal & Compliance
Municipal/Government Securities
Senior Management
MSRB Rule G-37 Exemptions
Political Contributions
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is publishing a National Adjudicatory Council (NAC) decision in which the NAC denied an appeal
WASHINGTON - The Financial Industry Regulatory Authority (FINRA), in coordination with the Municipal Securities Rulemaking Board (MSRB) today issued a Regulatory Notice reminding municipal securities dealers of their sales practice, due diligence and fair pricing obligations when selling municipal securities in the secondary market.