Activities relating to digital assets have attracted the interest of prospective and existing FINRA member firms. Digital asset securities with their related innovative technologies raise novel, complex and challenging regulatory and compliance questions, and challenges for both prospective and existing FINRA members.
OverviewActivities relating to FinTech business models has attracted the interest of prospective and existing FINRA member firms. This guidance is intended to provide applicants with direction on key regulatory and compliance questions and challenges for both perspective and existing FINRA members. A prospective FINRA member firm must seek approval for new FINRA membership through the submission
OverviewThis guidance is intended to provide direction on key information for a prospective and existing FINRA member firm that is contemplating to engage in activities utilizing an online platform or mobile application.1 Under Standard 6 of FINRA’s Standards for Admission (Standard), an applicant’s online platform or mobile application that the applicant intends to employ for the purpose of
OverviewThe following Guidance is to assist applicants as they prepare and submit information and documentation to FINRA for new Mergers and Acquisition (M&A) business. This Guidance is designed to help applicants provide basic information FINRA staff may ask them to submit in order to begin a meaningful review.FINRA Compliance Tool DisclaimerThis optional tool is provided to assist
FINRA observed that the Trade Data Dissemination Service (TDDS) delivered an incorrect print, today, Tuesday, February 4, 2025, at 11:27 a.m. ET in security Odonate, Inc (ODTCD). The trade for the security was reported as 1 share at $150,000, but TDDS disseminated it at a price of $50,000. All other FINRA mediums correctly distributed the price at $150,000.
FINRA Gateway Reports, previously referred to as Dynamic Reporting, helps firm staff answer common questions and make informed decisions using FINRA data. Choose from templates for firm, branch, individual, or filing data to create your own custom reports.
The second-quarter corporate and agency data tables for the TRACE Fact Book are now available.
The following checklist helps identify the basic requirements for members under the new and amended recordkeeping requirements to the SEC broker/dealer books and records rules.
OverviewThe following tool identifies key cybersecurity risks currently facing small firms and helps them enhance their customer information protection, and cybersecurity written supervisory programs (WSPs) and related controls, including:Highlighting the most common and recent categories of cybersecurity threats facing small firms, including questions to assist firms with addressing such threats
On October 12, 2022, the SEC amended Rule 17a-4. FINRA has prepared a chart that summarizes the most significant changes.
