FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced communications compliance and marketing professionals. Industry and regulatory speakers facilitate interactive discussions of communications topics including new rules, effective practices, regulatory priorities and emerging technologies.
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
To assist the financial industry in fulfilling its obligation to provide all available breakpoint discounts on sales of front end load mutual funds, the Joint NASD/Industry Task Force recommended that broker-dealers provide investors with a Written Disclosure Statement, explaining the availability of breakpoint discounts, at the time of purchase or on a periodic basis.
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
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.
On October 12, 2022, the SEC amended Rule 17a-4. FINRA has prepared a chart that summarizes the most significant changes.
