Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to certain historical costs of the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment.This filing has been withdrawn.
FINRA’s Membership Application Program Group (MAP) serves as the entry point to the securities industry by ensuring that prospective and current FINRA members meet FINRA’s Standards for Admission (Standards). Prospective FINRA members must seek approval for membership through the submission of a New Member Application (NMA). Existing FINRA members must file a continuing membership application
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
CRDIndividual Name A5429958BARBARA JEAN ABADI5251101YOUSEF ABBASI1879052JOSEPH ABBONDANTE5239825JOANNA ABDELHADI307EMMETT MAURICE ABERCROMBIE1610607ANDREW MARTIN ABERN4162073JOSH RAY ABERNATHY2987570EUGENE GILBERT ABEYTA, JR4311057ANTHONY RICHARD ABNER2733649MAURICE WAYNE ABNEY3273075AMR MOSTAFA ABOULMAGD6140331CRYSTAL DAWN ABRAHAM4412506SEYMOUR ISAAC ABRAMOWITZ4661358LISA ACCA4936501SALVATORE
As prepared for deliveryToday’s conversation on disrupting the cycle of financial fraud is important and timely—and we are grateful to have been able to convene such a distinguished group of regulators, policymakers, academics, law enforcement agencies, advocacy groups and financial firms here today. You all play a vital role in protecting investors, advocating for victims and working to stop
The FINRA Certified Regulatory and Compliance Professional (CRCP)® Small Firm Scholarship Program was developed to facilitate participation from small firms—those with 150 or fewer registered representatives. The CRCP® Small Firm Scholarship is awarded to five industry professionals from small firms.To be eligible for the CRCP Small Firm Scholarship, applicants must meet all of the following
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.
The FINRA Institute CRCP Scholarship Program provides small firms-those with less than 150 registered representatives-with a financial grant covering full tuition for the entire program, including room and board for the residential courses at Wharton.
Last week, FINRA CEO Robert Cook spoke at a conference hosted by the FINRA Foundation to underscore the importance of working together to disrupt the cycle of fraud. He highlighted specific areas for further coordination and announced that FINRA will reach out operators of existing regulatory databases to explore ways to create a one-stop shop resource for investor research. On this episode, we tune in to his remarks.
