Tuesday, February 68:00 a.m. – 9:30 a.m.General Breakfast9:30 a.m. – 10:25 a.m.Welcome Remarks and Keynote Speaker: Latest Trends in CybersecurityLearn more about the intersection between cybersecurity and emerging technologies such as generative artificial intelligence and how digital advancements will shape the future cyber threat landscape and industry response.10:25 a.m. – 10:45 a.m.
FINRA's Arbitration Awards Online database (“AAO”) demonstrates our commitment to transparency by enabling users to perform web-based searches for FINRA arbitration awards free of charge, seven days a week.
Documents Available in the Arbitration Awards Online Database
In addition to FINRA awards, you can search for historical awards for the:
National Association of Securities Dealers (
Series 50—the Municipal Fund Securities Limited Principal Qualification Examination (FP)—is a Municipal Securities Rulemaking Board (MSRB) exam.
Series 54 - Municipal Advisor Principal Exam
Preliminary Note: FINRA recently adopted enhanced confirmation disclosure requirements for corporate and agency bonds.
Arbitrators often ask for guidance in drafting appropriate expungement language. To help arbitrators with expungement orders, you will find examples of the relevant portions of written explanations in awards ordering expungement under each of the three standards in Rule 2080 (with the names of the parties redacted).
Last modified: October 16, 2023In accordance with the FINRA Codes of Arbitration Procedure (Codes), FINRA Dispute Resolution Services (DRS) is notifying state securities regulators of requests to expunge customer dispute information from the Central Registration Depository (CRD®) received by DRS within the past 15 days that are not deficient. See FINRA Rules 12800(f)(1), 12805(b), and 13805(b)(2
SummaryFor the past two years, FINRA has encouraged firms to keep their Risk Monitoring Analyst (formerly known as a “Regulatory Coordinator”) informed if the firm, or its associated persons or affiliates, engaged, or intended to engage, in activities related to digital assets, including digital assets that are non-securities.1 FINRA appreciates members’ cooperation with this request and
FINRA is conducting a targeted exam of firm practices regarding retail communications concerning Crypto Asset products and services.
To support their investor protection missions, FINRA and state securities regulators jointly collect and publicly disclose extensive registration information about financial professionals associated with broker-dealer firms (referred to herein as FINRA-registered financial professionals or RFPs). This registration information, which includes information about customer complaints, is used by regulators to license and oversee RFPs. The information publicly disclosed about RFPs is far more comprehensive than what is published for most other types of professionals.
