(a) Normal Ex-Interest DatesAll transactions, except "cash" transactions, in bonds or similar evidences of indebtedness which are traded "flat" shall be "ex-interest" as prescribed by the following provisions:(1) On the record date if the record date falls on a business day.(2) On the first business day preceding the record date if the record date falls on a day
(a) Complaint
(1) If the Department of Enforcement believes that any FINRA member or associated person is violating or has violated any rule, regulation, or statutory provision, including the federal securities laws and the regulations thereunder, which FINRA has jurisdiction to enforce, the Department of Enforcement may request authorization from the Office of Disciplinary Affairs to
(a) General Requirements
Following the issuance of a complaint in a disciplinary proceeding, or the initiation of another proceeding, every filing of a Party represented by counsel or a representative shall be signed by at least one counsel or representative of record in his or her name and shall state the business address and telephone number of such counsel or representative. A Party
(a) FINRA will pass through any penalties incurred under the National Market System data plans and allocate them accordingly to the ADF Trading Center that exceeds its projected message traffic. Each ADF Trading Center will be invoiced for any penalties that may occur.
(b) In assessing capacity penalties incurred under the National Market System Plans:
(1) FINRA will use the metrics of the
Below are all the compliance tools offered by FINRA. Questions? Contact FINRA Support Center at (301) 590-6500 or by email.Anti-Money Laundering TemplateBooks and Records Requirements Checklist for Broker DealersBreakpoints Checklist and WorksheetBreakpoints Interest Refund CalculatorBreakpoints Sample Written Disclosure DocumentBrokerCheck Link Requirements in FINRA Rule 2210Business
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
FINRA is examining firms’ offering of, and services provided to, Special Purpose Acquisition Companies (“SPACs”) and their affiliates (e.g., sponsors, principal stockholders, board members, and related parties). Unless otherwise noted, the relevant period for each request is July 1, 2018, through September 30, 2021 (the “Relevant Period”). In addition, if your response varies over the Relevant Period, please explain the differences in your response.
Certification of Annual Audits
FINRA's Membership Application Program serves as the entry point to FINRA membership for firms that meet 14 different standards for admission. On this episode, we hear how the group ensures members and would-be members adhere to these standards to safeguard the integrity of the market and ensure Americans can invest with confidence.
I am writing as a humble retail investor. Recent events and research have demonstrated that the entire securities market is built around big players taking money directly from retail investors and legitimate corporations who have zero recourse. The current system for reporting short sales is laughably ineffective. It is completely obscured from retail traders, intentionally preventing free trade
