Trade Reporting Facility Documentation
CRCP Continuing Education Requirement
CRCP® designees are required to complete 12 hours of continuing education (CE) every three years as of their certificate anniversary award date. You can choose your CRCP CE credits from a wide variety of convenient educational formats.
To view a Progress Report listing CE credits you have reported, login to the FINRA CRCP Reporting System. For additional
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting recent updates to the National Institute of Standards and Technology (NIST) Cybersecurity Framework (CSF) 2.0, which is a resource designed to help organizations manage and reduce cybersecurity risks, regardless of their degree of cybersecurity sophistication.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) to modify the trade reporting fees and caps applicable to non-retail participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret and the FINRA/Nasdaq Trade Reporting Facility Chicago.
Sometimes called longevity insurance, deferred income annuities (DIAs) often are purchased as an alternative to a pension by those seeking a set amount of guaranteed income in their later years. These products are typically sold by investment professionals or insurance agents. DIAs should not be confused with deferred fixed income annuities.
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.FINRA asks that would-be Applicants take time to review and understand all FINRA’s substantive and procedural requirements prior to applying. These
FINRA issued $85.5 million in fines in 2023 , and the Board determined that there were $97.8 million in fines-eligible expenditures in 2023 (i.e., capital initiatives, strategic expenditures and other activities eligible to be funded by fine monies based on the criteria set forth above). Because the total of fines-eligible expenditures exceeded the amount of fines issued in 2023, the balance of $12.3 million was funded from FINRA’s reserves and excess operating results.
Keep informed about new or complex products, scams and other investing issues.
February 28, 2022FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by Member Supervision staff to discuss the 2022 Report on FINRA’s Examination and Risk Monitoring Program.Speakers:Robert Cook, FINRA President and Chief Executive OfficerGreg Ruppert, Executive Vice President, Member SupervisionKayte Toczylowski, Vice President,
September 19, 2022FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss the SEC’s Regulation Best Interest (Reg BI) and Form CRS.Speakers:Robert Cook, FINRA President and Chief Executive OfficerMeredith Cordisco, Associate General Counsel, Office of General CounselNicole McCafferty, Senior Director,
