Interpretations are marked in blue background beneath the rule text to which they relate.
I've been securities licensed for about two decades and thrilled to hear about this proposal to Simplify Requirements Regarding Associated Persons’ Outside Activities. I can't remember a single client ask me about any of my listed OBAs (they are not securities related) or any colleagues OBAs. I work with an advisor who filed bankruptcy and that's no longer available for clients
As of March 14, 2025, Texas’ and Washington’s Form BR settings were updated to reflect that they now accept Residential Supervisory Locations.
SLATE is a service of FINRA that performs two major functions: on-line loan transaction reporting and transaction dissemination. Participants (or their designated third parties) are provided with the capability of submitting loan transaction information on CAT, TRACE or RTRS reportable securities.
The proposal is a step in the right direction but could be simplified to make it easier to read in conjunction with other rules. I think it needs more explanation as to the historical reasons behind distinguishing between registered persons and associated persons, and clarification in other rules like 3210 where they are referred implicitly by the rule saying "No person associated with a
By Robert Cook, President and CEO, FINRA. Last month, the SEC issued an exemptive order providing significant relief from the personally identifiable information (PII) reporting requirements of CAT (the Exemptive Order). This was an important step towards reducing unnecessary PII risk associated with CAT, and was directionally consistent with a blog I previously wrote calling for CAT to stop collecting and storing investors’ PII. As discussed below, however, the Exemptive Order did not eliminate all PII from CAT.
Investment fraud comes in many forms, often involving opportunities and offers that seem compelling. To avoid being drawn into a scam, keep your guard up and look for warning signs before you commit to an investment.
Identity theft occurs when someone obtains your personal information and uses it to take your money or to commit fraud or other crimes. It can devastate your credit rating and derail financial security. Here's how you can protect yourself.
Maureen A. DelaneyChief Hearing Officer and Senior Vice PresidentFinancial Industry Regulatory AuthorityMaureen Delaney is the Chief Hearing Officer at FINRA. She has been a Hearing Officer in FINRA’s Office of Hearing Officers since 2009. Prior to joining the Office of Hearing Officers, she served as Senior Counsel in FINRA’s Department of Enforcement in Washington, D.C. Before joining FINRA, Ms
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This user guide provides Super Account Administrators (SAAs) and Account Administrators (AAs) with the requirements of the FINRA Entitlement Program and instructions and tips for how to navigate the Account Management System of the FINRA Entitlement Program.i Responsibilities for Managing Account Accessii Best Practices for
