The following checklist helps identify the basic requirements for members under the new and amended recordkeeping requirements to the SEC broker/dealer books and records rules.
FINRA is providing a template as an optional tool to assist small introducing firms in fulfilling their obligations under FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information).
As a not-for-profit, self-regulatory organization (SRO) with an 85-year history, FINRA pursues its mission of promoting investor protection and ensuring market integrity in many ways
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 Dispute Resolution Services (DRS) does not require vaccination, COVID testing, or Health Self-Assessments for in-person participants at arbitration hearings or mediation sessions (hearings).Frequently Asked QuestionsAre face masks required at in-person hearings?In-person participants are not required to wear face masks. However, FINRA recommends that people consider wearing a mask if the
