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If you’re not careful, holiday expenses—including non-gift items and entertainment costs—can add up quickly. Follow these four steps to set a thorough holiday budget and keep spending under control.
FINRA now offers candidates the choice to take an exam at a local test center or, for a limited number of exams, proctored remotely online. For either appointment type, please ensure you are prepared in advance of your test appointment and familiar with what to expect on the day of your exam. Please review and complete any necessary preparations indicated for your applicable test experience.
FINRA is making available in one place on its website a list of firms and individuals responsible for unpaid customer arbitration awards. FINRA is providing the information in this new format to provide greater transparency around those firms and individuals with unpaid arbitration awards and to make this information more readily accessible to investors. The information will also continue to
Arbitration cases decided by award in the forum operated by FINRA represent a small subset of all cases closed involving customer disputes. The vast majority of customer cases close by settlement – not award.
StatusCode for StatusDescriptionAbandonedABANDONEDA manually set status that indicates that information for an individual has not been submitted to a state within the time period specified by the state. The individual cannot conduct business.Administrative TerminationADMTERMA status which has been set pursuant to a termination for administrative reasons (i.e. Mass Terminations)Approved Pending
FINRA operates Monday through Friday during regular business hours, except as indicated below.2024 DateHolidayMonday, January 2, 2024New Year’s DayFriday, January 12, 2024Friday before Martin Luther King, Jr. Day (1 p.m. early close)Monday, January 15, 2024Martin Luther King, Jr. DayFriday, February 16, 2024Friday before President's Day (1 p.m. early close)Monday, February 19, 2024President’
FINRA is soliciting comment on a concept proposal to establish liquidity risk management requirements. The concept proposal describes a potential rule, labeled Rule 4610, that is intended to ensure that members have sufficient liquid assets to meet their funding needs in both normal and stressed conditions. Broadly, the proposal outlines three areas where a potential rule might address liquidity risk, including liquidity stress testing, contingent funding plans and a requirement to maintain sufficient liquidity on a current basis at all times. FINRA is issuing this concept proposal so that any feedback received can be taken into account as FINRA considers a proposed rule; any proposed rule would need to be reviewed and approved by the FINRA Board of Governors, and then filed with and approved by the Securities and Exchange Commission. FINRA welcomes comment on all aspects of the concept proposal, including comment on alternatives to the proposed approach.
SummaryTo assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2024 or the first quarter of 2025. FINRA reminds members that all such filings they submit to FINRA must be made electronically
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+1 Settlement Cycle
SummaryThrough its examinations of member firms, FINRA has observed instances of non-compliance with SEA Rule 15c3-1, SEA Rule 17a-3 and SEA Rule 17a-5 resulting from misapplication of the Financial Accounting Standards Board’s Accounting Standard Codification 606, Revenue from Contracts with Customers (“ASC 606”). This Notice provides guidance regarding potential compliance issues with respect