FINRA Rule 4530 (Reporting Requirements) requires member firms to promptly report to FINRA, and associated persons to promptly report to firms, specified events, including, for example, findings of violations of securities laws and FINRA rules, certain written customer complaints, and certain disciplinary actions the firm takes. Member firms must also promptly report to FINRA certain internal conclusions of violations, and must report quarterly to FINRA statistical and summary information regarding certain written customer complaints. In addition, FINRA Rule 4530 requires member firms to file with FINRA copies of specified criminal actions, civil complaints and arbitration claims.
Communications with the PublicReg BI and Form CRSPrivate PlacementsVariable AnnuitiesPrevious:Crowdfunding Offerings: Broker-Dealer and Funding PortalsUp:Communications and SalesNext:Communications with the Public
Outside Business Activities and Private Securities TransactionsBooks and RecordsRegulatory Events ReportingTrusted Contact PersonsCrowdfunding Offerings: Broker-Dealer and Funding PortalsPrevious:Crypto Asset DevelopmentsUp:Firm OperationsNext:Outside Business Activities and Private Securities Transactions
FINRA poses several questions for firms to consider as they evaluate whether their supervisory systems are reasonably designed to address risks of their SPAC-related activities. These questions are based on FINRA’s observations to this point in our review. In addition, the Appendix notes additional guidance FINRA has provided regarding member firms’ relevant obligations.
FINRA Rule 4530 requires firms to report specified events; quarterly statistical and summary information regarding written customer complaints; and copies of specified criminal and civil actions. FINRA Rule 4530 was modeled after former [NASD Rule 3070] and former [NYSE Rule 351]. Any matter that becomes subject to reporting or filing on or after July 1, 2011, must be reported or filed in
Net CapitalLiquidity Risk ManagementCredit Risk ManagementPortfolio Margin and Intraday TradingSegregation of Assets and Customer ProtectionPrevious:Market Access RuleUp:Financial ManagementNext:Net Capital
Cybersecurity and Technology ManagementAnti-Money Laundering, Fraud and SanctionsManipulative TradingPrevious:How to Use the ReportUp:Financial CrimesNext:Cybersecurity and Technology Management
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report. On this episode, we hear from four leaders within FINRA's Member Supervision department to discuss highlights from the 2024 report.
The Anti-Money Laundering, Fraud and Sanctions topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
The Communications with the Public topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
