FINRA Disclosure Reporting Boot Camp Schedule & How to Register
Broker-dealers that recommend or sell private placements have additional requirements under FINRA and SEC rules. These requirements include:Filing certain offering documentsEnsuring the suitability of any investments they recommendFiling RequirementsTwo FINRA rules require firms to file certain offering documents and information about the issuer, the offering terms, and the firms selling the
In-Person Registration Systems Foundation (Fee $300 per person): includes a single day of in-person training for firms on FINRA Gateway and related systems.
The Web CRD system facilitates the collection and disbursement of fees associated with filings processed through the system. The links available on this Web Page provide important information on registration-related fees and payments, as well as guidance with the CRD Accounting functionality.
Tips, system visual aids, user manuals, and other tools that should aid smaller member firms in the usage of Web CRD System-related registration activities
1. Where can I access a list describing the exams listed in CRD?
A listing of the exams available in CRD can be found on the Qualification Exams page.
2. How long is an exam window in CRD?
Exam windows are valid for 120 days. Provided that an exam candidate is not subject to a waiting period after a previous failed attempt, the exam window start date will be the day following
Don’t trust that unexpected text or direct message from a stranger—it might be the first step in a “pig butchering” scam. These scams often involve fraudsters contacting targets seemingly at random, then gaining trust before ultimately manipulating their targets into phony investments and disappearing with the funds.
Most of us know someone who has been a victim of a financial scam, or we may have been a target ourselves. If you’ve been impacted by this type of crime, there are ways you can get assistance. These six steps can help you reclaim power from the fraudsters and begin to move forward.
If your firm feels that FINRA has assessed a fee in error, your firm can open a case through one of these three channels.
Several rules require notification to FINRA and the U.S. Securities and Exchange Commission (SEC) based on certain financial and operational obligations. FINRA’s Regulatory Notifications application in FINRA Gateway provides a filing system for member firms to electronically submit this information to FINRA. For guidance related to submitting required notifications to the SEC, firms should visit the SEC’s website or contact the SEC.
