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CRD - FAQ Form Filing for Individuals
1. How do I submit form filings to Web CRD?
Upon completion of a filing...
For detailed information regarding amendments to FINRA Rule 4530, please see Regulatory Notice 13-08.
1. How can a firm affirmatively state that a Form U4 amendment is to also be applied to satisfy a Rule 4530(a)(1) reporting requirement?
Effective March 4, 2013, when a firm files a Form U4 amendment involving a criminal matter, regulatory action, civil judicial or customer complaint/arbitration
FINRA is in the middle of a wide-ranging, multi-year effort to revolutionize the digital experience of FINRA member firms. It’s a transformation driven by firms for firms. On this episode, we learn how the project will simplify the user experience, increase flexibility and automation when it comes to user-defined access to FINRA data and more.
As announced in a Technical Notice on 6/3/19, there was an issue in the Tier 1 5/13/19 weekly report where some ATS data was unattributed. The issue has now been resolved. The unattributed data was actually associated with trade activity on the MLIX Instinct X ATS. The line data for MLIX has now been updated to reflect the additional activity.
If you have any questions, please contact FINRA
The following FAQ is provided to facilitate firms' compliance with FINRA Rules 5190 (Notification Requirements for Offering Participants), 6275 (Withdrawal of Quotations) and 6435 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M). A comprehensive overview of these rules and related guidance is set forth in Regulatory Notice 08-74 and Regulatory Notice
View frequently asked questions related to portfolio margining under FINRA Rule 4210.
In June 2009, FINRA issued Regulatory Notice 09-31 to remind firms of their sales practice obligations relating to leveraged and inverse exchange-traded funds (ETFs). At the same time, the Investment Industry Regulatory Organization of Canada (IIROC) issued guidance to the Canadian industry that is substantially similar to our Notice. In July we released a compliance podcast concerning the Notice
The following frequently asked questions (FAQs) provide guidance on FINRA Rule 2111 (Suitability). This document consolidates the questions and answers in Regulatory Notices 12-55, 12-25 and 11-25, organized by topic.
Questions and Answers on FINRA’s Eligibility Proceedings for Firms Participating in the Securities and Exchange Commission’s (“SEC” or “Commission”) Share Class Selection Disclosure Initiative (“SCSD Initiative”).
To guide firms participating in the SEC’s SCSD Initiative, FINRA is issuing the following questions and answers regarding the statutory disqualification process. Information contained