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Frequently Asked Questions (FAQ) covering reporting of corporate and agencies debt, reporting of mortgage and asset backed securities to the Trade Reporting and Compliance Engine (TRACE)
The 2024 Compliance Outreach Program for Municipal Advisors and Municipal Dealers is a free live-streamed and in-person program designed to provide municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters for municipal advisors and dealers.
2024 is the third year that Juneteenth is recognized and celebrated as a federal holiday honoring the official abolition of slavery in the United States of America. As history states, President Lincoln abolished slavery with the Emancipation Proclamation in 1863. However, that did not immediately end slavery throughout the United States.
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FINRA may grant waivers, in exceptional cases, or exemptions for qualification exams, pursuant to FINRA Rule 1210.3, FINRA Rule 1220 and Rule 9600 Series, and accept other standards as evidence of an applicant’s qualification for registration, such as experience in the securities industry, educational achievement, or qualification by a specified foreign entity. FINRA may also consider an
The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB) and FINRA announced today that registration is now open for both in-person and virtual attendance of their Compliance Outreach Program for municipal market professionals. The event is open to the public and will take place on Wednesday, Nov. 20, and Thursday, Nov. 21, 2024, in Denver, Colorado.
Alternative Display Facility Documentation
FINRA is issuing this Information Notice to remind members of the role of the Cross-Market Regulation Working Group (CMRWG), which was established under the U.S. Subgroup of the Intermarket Surveillance Group (ISG), to focus on ways to reduce unnecessary regulatory duplication.Please see the attached ISG CMRWG Regulatory Memorandum 2024-01 (“Notice”) that was issued by the Participants of the ISG
To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
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.
The following outlines process and procedures if there was not sufficient information in the interpretive guidance available online. Oral Interpretive RequestsIf, after consulting the available guidance, a requester determines that an interpretive issue exists with respect to FINRA's rules, the requester should consider contacting OGC staff by telephone to discuss the issue in more detail.