FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to discuss the intersection of cybersecurity, fraud and financial crimes. Staff will also highlight resources, tools and tips for mitigating risk in this area.Speakers:Robert Cook, FINRA President and Chief Executive OfficerSarah Kwak, Associate General
National Adjudicatory Council Committee Members
For more than a decade, FINRA has hosted the Diversity Leadership Summit, an event that brings together diversity practitioners and industry leaders to share innovative ideas and effective practices to promote diversity, equity and inclusion in the workplace.
Different investment products and strategies involve different degrees of risk. So what level of risk is too much? This depends on your risk tolerance—the amount of investment risk you’re willing and able to accept—which is impacted by a variety of factors and is unique to you.
(a) Applicability of RuleThis rule applies to arbitrations involving $50,000 or less, exclusive of interest and expenses. All arbitrations administered under this rule will be decided on the pleadings and other materials submitted by the parties unless the customer requests a hearing under paragraph (c) of this rule. Except as otherwise provided in this rule, all provisions of the Code apply to
FINRA has 13 advisory committees that provide feedback on rule proposals, regulatory initiatives and industry issues. More than 160 industry members and 35 non-industry members serve on these committees. The advisory committees meet in-person or via teleconference typically between two and five times a year.Clearing Firm Advisory CommitteeCorporate Financing CommitteeEconomic Advisory
Release DateSystemAreaDescriptionOctober 27, 2024FinPro (Financial Professional Gateway)Continuing EducationA new “Not Required” CE status for the Regulatory Element will be added for individuals who are fully terminated. The status will be displayed only in the CE section.October 26, 2024FINRA GatewayIndividual ProfilesA new “Not Required” CE status for the Regulatory Element will be added for
The following is a list of trademarks of Financial Industry Regulatory Authority, Inc. (FINRA Marks). This list may be updated at any time without notice.ADF®BrokerCheck®Certified Regulatory and Compliance Professional (CRCP)®CRCP®CRD®Financial Industry Networking Directory™Financial Industry Regulatory Authority®Financial Learning Experience at FINRA™FIND®FINRA®FINRA ADDS®FINRA Automated Data
FINRA’s Corporate Financing Rules—Rules 5110, 2310 and 5121—generally compel firms that participate in public offerings of securities to fulfil three requirements:
Firms must file documents and other information in connection with public offerings. These documents include registration statements or offering circulars and their exhibits and amendments. The documents must be submitted no later
FINRA Gateway Reports, previously referred to as Dynamic Reporting, helps firm staff answer common questions and make informed decisions using FINRA data. Choose from templates for firm, branch, individual, or filing data to create your own custom reports.
