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FIRST is a prototype taxonomy-based rulebook search tool designed by FINRA to make the FINRA rulebook more accessible when searching for relevant information or developing automated compliance functions. FIRST is enabled by a regulatory taxonomy, or a hierarchical classification of key business and regulatory terms, applied, or “tagged,” to a series of key FINRA rules.
Rulemaking topics discussed include:
private placements,
debt research conflicts of interest,
short interest reporting,
minimum quotation sizes,
consolidated FINRA registration rules, and
replies to responses to motions in arbitration.
(a) The term "Browse" shall mean the function that permits a Participant to review (or query) for trades in the System identifying the Participant as a party to the transaction, subject to the specific uses contained in the System Users Guide.
(b) The term "Clearing Broker-Dealer" or "Clearing Broker" shall mean the member firm that has been
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WASHINGTON—FINRA announced today that it has fined Interactive Brokers LLC $15 million for widespread failures in the firm’s anti-money laundering (AML) program, which persisted for more than five years. As part of the settlement, FINRA also required Interactive Brokers to certify that it will implement the recommendations of a third-party consultant to remedy the firm’s AML program failures.
Please do not limit our ability to invest freely in the way we choose. We shouldnt have to jump through hoops such as qualifications and tests in order to invest/trade.
Over many many years Ive developed very rigorous risk management processes, which is part of any investors journey in the market. Dont penalize those of us who have good risk management because an uneducated few choose to invest
The Trusted Contact Persons section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
I oppose the restrictions trying to be imposed by FINRA related to FINRA Regulatory Notice #22-08.
It should be my decision to choose the public investment that is right for me. Public investments should be just that, available to the public not just the privileged. Leave the publics rights alone and allow us to choose what is the best investment for ourselves. I shouldn't have to go
FINRA assesses and collects regulatory fees that fund FINRA’s regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley DW Inc. (now known as Morgan Stanley & Co. Incorporated) $1.5 million and ordered the firm to pay more than $4.6 million in restitution for rule violations relating to the sale of corporate bonds to retail customers at excessive prices. The firm was cited for charging