To conduct securities transactions and business with the investing public in the United States both firms and individuals must be registered with FINRA. Firms must apply and meet certain membership standards to become a FINRA-registered broker-dealer. The New Member Application Form (Form NMA) is used by FINRA’s Membership Application Program (MAP) Group to assess whether an Applicant meets those
Public GovernorFormer Chair and CEO, Ontario Securities CommissionGovernor Since 2020Committees: Audit & Risk Committee, Executive Committee, Nominating & Governance Committee, Regulatory Oversight Committee, Regulatory Policy Committee (Chair)Professional ExperienceOntario Securities CommissionFormer Chair and Chief Executive Officer (2016 – 2020)Executive Director &
Industry Governor (Floor Member)PresidentUBS Securities LLCGovernor Since 2024Professional ExperiencePresident, UBS Americas (2022 – present)Federal Reserve Bank of NY (2021 – 2022)Morgan Stanley Wealth Management (2016 – 2020)Current Board Service and AffiliationsBoard Member, Partnership for New York CityBoard Member, American Swiss Foundation BoardBoard Member, Ownership WorksEducationMBA,
GUIDANCEBranch Office DefinitionEffective Date: May 1, 2006SUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceOperationsRegistered RepresentativesRegistrationSenior ManagementTrainingBranch Office DefinitionBranch Office RegistrationCentral Registration Depository(CRD® or Web CRD)Form BR (Uniform Branch OfficeRegistration Form)IM-3010-1Internal InspectionsRule
Sign In With GoogleThe social login feature allows public/individual authenticated users who require an account to access FINRA’s systems to register and log in using their existing Google account credentials. Social login makes the onboarding process easy and simplifies the authentication process by using user’s existing Google account information and credentials. This eliminates the need for
FINRA encourages comments on this paper, including areas where FINRA may:offer guidance or modifications to its rules to address the adoption of quantum computing;foster greater crypto agility within firms to prepare for post-quantum cryptography; andseek to prepare for a quantum future while maintaining investor protection and market integrity.FINRA also seeks input from financial industry
FINRA customers using a VPN to access the MPP products’ (ADF, ORF, TRACE, TRF) FINRA test network (NTF) will be required to make a configuration change by close of business, May 3, 2024.
Alan Lawhead is Vice President and Director of the Appellate Group. He leads a group of appellate attorneys who defend FINRA's decisions that are on appeal to the Securities and Exchange Commission. The Appellate Group also provides legal advice to FINRA's appellate body, the National Adjudicatory Council, in the following areas: appeals of Hearing Panel disciplinary decisions;
There are a lot of ways to gain exposure to precious metals such as silver, gold, palladium and platinum. But investing in the physical metal can carry a lot of allure for some investors. It can also come with a lot of risks.
