Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to reasonably budgeted CAT costs of the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) for the period from July 16, 2024 through December 31, 2024. These fees would be payable to Consolidated Audit Trail, LLC (“CAT LLC” or “the Company”) and referred to as “CAT Fee 2024-1.”
When it became clear that FINRA was going to move to a fully remote work environment in early March, most of the focus was on how to continue conducting business in a fully digital environment. But several functions FINRA performs still require sending materials in the mail to firms and individuals. One example is the Regulatory Review group within Credentialing, Registration, Education and
Guidance for Firms Potentially Affected by Hurricane Isaac
Saving for retirement can get complicated for military spouses on the move, but you can still make the most of tax-advantaged retirement savings plans.
The annual IRS contribution limits are increased periodically due to inflation, but they are not increased every year. The table on this page provides an overview of the maximum annual contribution limits for the current year.
FINRA has been on a hiring spree, working to fill scores of open positions. But given that almost all employees are working remotely as a result of the coronavirus outbreak, how are these new hires getting the equipment to start work from home?
The solution: “FINRA in a Box.”
That’s what staff call the package FINRA sends to new hires, containing a laptop, onboarding instructions, introductory
As a not-for-profit membership organization, we are committed to transparency and engagement with our members regarding our finances. Accordingly, we want to update you on FINRA’s plans over the next several years for funding our mission of protecting investors and promoting market integrity in a manner that facilitates vibrant capital markets.
Requirements of NASD Rule 2420 to broker/dealer arrangement to pay certain commissions and SEC Rule 12b-1 fees to accounts of various employee benefit plan customers.
When you retire, you need income you can count on, year in and year out for a very long time. From getting a handle on your sources of retirement income to strategies to make that income last throughout retirement, this resource will help you manage your retirement income wisely.
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
