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Conflicts of interest represent a recurring challenge that contributes to compliance and supervisory breakdowns. These breakdowns can compromise the quality of service that firms and representatives provide to their clients. We issued the Report on Conflicts of Interest in October 2013, and FINRA continues to monitor the efforts employed by firms to identify, mitigate and manage conflicts of
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Expand All | Collapse All0100. General Standards0110. Adoption of Rules0120. Effective Date0130. Interpretation0140. Applicability0150. Application of Rules to Exempted Securities Except Municipal Securities0151. Coordination with the MSRB0160. Definitions0170. Delegation, Authority and Access0180. Application of Rules to Security-Based Swaps0190. Effective Date of Revocation, Cancellation
Have you ever wondered who protects investors—and how? FINRA, the Financial Industry Regulatory Authority, is a not-for-profit organization authorized under the federal securities laws and registered with the Securities and Exchange Commission (SEC). Alongside the SEC, FINRA oversees U.S. member broker-dealers and their personnel, including individuals who recommend or sell securities products to the public. FINRA’s mission is protecting the investor and ensuring the integrity of our country’s securities markets.
FINRA has commented on the following topics.
FINRA has created this page to provide information for the small firm community—those firms with 150 or fewer registered representatives. This page contains current and past communications, links of interest to small firms, and other information.
It can be difficult to recover assets lost to fraud or other scenarios in which an investor has experienced a problem with an investment. But there are legitimate ways to attempt recovery. In most cases you can do so on your own—at little or no cost.
Offers from people or organizations who claim they can help you recover money lost from previous fraud can be tempting. But these offers, which want you to pay money up front for the recovery “services,” are almost always fraudulent themselves. Learn to spot fraudulent recovery scams and avoid further losses.
As part of its Transparency Services improvement initiative, beginning Monday, September 9, 2024, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system.