SummaryFINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November, and
In conjunction with other self-regulatory organizations and the Securities Industry/Regulatory Council on Continuing Education, FINRA administers the continuing education (CE) program for the securities industry. CE consists of two mandatory programs: the Regulatory Element and the Firm Element.
FINRA 101 is a video series that dives into who we are and the financial education we provide to the public. The series covers topics from how to spot a romance scam to the origins of FINRA and how we operate.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 13606 of the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) to provide that the Director (“Director”) of FINRA Dispute Resolution Services (“DRS”) will provide a copy of the official record of an expungement hearing held pursuant to Rule 13805, and any transcription if the recording is transcribed, to any customers, upon request, who attend and participate in the expungement hearing, or who provide their position on the expungement request in writing.
From a trader's perspective, I understand that the intention is to reduce the risk and losses incurred, however, I believe how the system is currently setup, it's created unintended consequences that actually expose trader's to more risk. This system, in terms of only allowing up to three round trips in a rolling five business days, has caused me and other traders to lose money due
/**/
FinPro Password Reset Service DisruptionStatus: Under InvestigationFirst Reported: October 29, 2024 - 4:00 p.m.Last Update: October 31, 2024 - 3:47 p.m.Description: Some FinPro users are having problems resetting their password. Teams are investigating the issue. If a user is experiencing this problem, please call the FINRA Call Center and an agent can help reset the password.
Companies that use Fortinet’s FortiManager product could be exposed to a remote, unauthenticated attacker executing arbitrary code or commands due to a critical product vulnerability (CVE-2024-47575), according to two recent alerts from the Cybersecurity & Infrastructure Security Agency (CISA).
The term “metaverse” has attracted significant attention and curiosity in recent years from the media, entertainment and technology sectors. Though the term has no concrete definition, and interpretations may differ, the metaverse is generally viewed as the next evolution of today’s internet.
n the event a Vendor misses transmission of TRACE data and would like to request retransmission, please follow the steps outlined on this page. Note: Only existing vendors can request retransmission of TRACE data.
