Supervision Frequently Asked Questions (FAQ)
Invest in what you know. It’s a common investing adage, and employees might think they know their employer better than anyone else. But should you invest in your company’s stock? Owning a stake in the company you work for might have some advantages. However, there are risks you should consider.
As FINRA's industry technology developments continue, the systems and work processes used by firms—and industry professionals—to manage registration-related information are also changing. Join us during this webinar series as we discuss topics related to the following areas:
transitioning registration compliance workflows to FINRA Gateway,
continuing education platform changes,
Certified Regulatory and Compliance Professional (CRCP) designees are required to complete 12 hours of continuing education (CE) every three years as of their certificate anniversary award date. Now, you can choose your CRCP CE credits from a wide variety of convenient educational formats, including FINRA developed conferences, e-learning and classroom learning courses, online workshops and webcasts.
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the first quarter of 2019. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of June 14, 2019. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter June 13, 2019
FINRA API Developer Center
Build automated compliance solutions faster and easier than ever before.
fileX
fileX is a centralized, secure file transfer platform where firms can send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for submitting those filings to FINRA, and allows for seamless
FINRA Rule 2360 (Options) and FINRA Rule 2359 (Position and Exercise Limits; Liquidations) incorporate certain option exchanges' requirements for options and warrant position and exchange limits. Changes to an options exchange rules could affect a FINRA-regulated firm’s compliance with the FINRA rules. Accordingly, FINRA will provide updates when an options exchange proposes or receives
The following FAQ on FINRA.org pertain to Qualification Exams:
Frequently Asked Questions Regarding Qualification Exams
Frequently Asked Questions Regarding Qualification and Registration Requirements
Frequently Asked Questions Regarding the SIE and Exam Restructuring
Frequently Asked Questions Regarding Back-to-back Scheduling
Frequently Asked Questions Regarding Limited English
