Download the Findings Reporting Categories for Remote Inspection Pilot Participants
Falling victim to a scam carries more than just a financial impact. It can be an isolating experience and exact a mental and emotional toll. On this episode, we hear about the experience of two real life victims and their efforts to recover from their loss with the help of the Cybercrime Support Network.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to reduce the 15-minute TRACE reporting timeframe to one minute, with exceptions for member firms with de minimis reporting activity and for manual trades.
SEC Rule 606(a) requires broker-dealers that route equity and option orders on behalf of customers to prepare quarterly reports that disclose specific information about their order routing practices for non-directed orders in NMS stocks and NMS securities that are options contracts. The reports are published as PDFs and XML files for each calendar quarter. Data is collected from firms at the end
Terms and acronyms candidates may encounter in FINRA qualification exams.
In the early hours of Sept. 16, 1810, church bells rang to signal a call to arms in Dolores, Mexico, beginning the Mexican War of Independence. By 1821, what was once called New Spain, became the nations of present-day Central America.
From cybersecurity to new product review, the FINRA Peer-2-Peer Compliance Library is a one-stop source for templates, checklists and other materials provided by FINRA-registered firms as supplemental resources at FINRA events. Investment professionals can browse the library after logging in with FINRA Gateway credentials. If you have feedback on the Peer-2-Peer Compliance Library, send an email
The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs.
The Series 16 exam — the Supervisory Analyst Qualification Exam (SA) — assesses the competency of an entry-level principal to perform their job as a supervisory analyst.
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
