Use this checklist to safeguard your sensitive information and help keep identity thieves at bay.
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
As of March 14, 2025, Texas’ and Washington’s Form BR settings were updated to reflect that they now accept Residential Supervisory Locations.
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
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.
As part of its Transparency Services improvement initiative, beginning Monday, May 19, 2025, FINRA will re-platform TRACE Securitized Products (SP) to a new Linux-based operating system. FINRA requires client testing participation in this effort to validate that all processes work within the TRACE reporting framework. TRACE clients who utilize FIX for SP trade entry and other transactions should
Learn about common fraud tactics and scams and how to avoid them; how to check registration for sellers and investments; and what questions to ask to protect yourself and your assets.
.max317 {
max-width:317px;
}
.max317area img {
max-width:317px;
}
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
