The Regulatory Element provides training on significant rule changes and other regulatory developments relevant to each registration category. Beginning Jan. 1, 2023, FINRA Rule 1240 requires registered persons to complete the Regulatory Element annually by Dec. 31 for each registration that they hold. To provide sufficient time to review the Regulatory Element topics for each
Do you own bonds or have money invested in a bond fund? If so, now is a good time to brush up on two factors that can affect bond prices and fund returns: interest rate changes and a bond's duration.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to implement a historical Consolidated Audit Trail (“CAT”) recovery assessment designed to permit FINRA to recoup its contributions to recoverable historical costs of the National Market System Plan Governing the Consolidated Audit Trail incurred prior to January 1, 2022.
Julie Glynn is the Senior Vice President of Enforcement Legal. In this role, Ms. Glynn is a senior legal advisor to the Executive Vice President and Head of Enforcement. She is responsible for monitoring and advising on high-impact and noteworthy investigations and disciplinary actions, including litigation, across the Enforcement department and in coordination with FINRA’s Regulatory Operations
Use the Certification Representative (CRep) Designation Request to designate or replace a Certification Representative for your organization to complete the Entitlement User Accounts Certification Process.This request has specific instructions and signature requirements which must be met for processing.Electronic Submission via DocuSignThis request must be completed electronically. The link below
FINRA provides a template for small firms (Word format 164 KB) to assist them in fulfilling their responsibilities to establish the Anti-Money Laundering Program. The template provides language concerning, among other things, the final customer identification rule.
FINRA is providing a template as an optional tool to assist small introducing firms in fulfilling their obligations under FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information).
FINRA Dispute Resolution Services (DRS) does not require vaccination, COVID testing, or Health Self-Assessments for in-person participants at arbitration hearings or mediation sessions (hearings).Frequently Asked QuestionsAre face masks required at in-person hearings?In-person participants are not required to wear face masks. However, FINRA recommends that people consider wearing a mask if the
