Gifts Rule
FINRA Rule 3220 (Influencing or Rewarding Employees of Others) (the Gifts Rule) prohibits any member or person associated with a member, directly or indirectly, from giving anything of value in excess of $100 per year to any person where such payment is in relation to the business of the recipient’s employer. The rule also requires members to keep separate records regarding gifts and
Debe saber que se prohíbe ciertos tipos de conducta en la industria de valores.
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.
SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information
Beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. This project does not require client changes to be made.
(a) Applicability of Document Production Lists
The Director will notify parties of the location of the FINRA Discovery Guide and Document Production Lists on FINRA's Web site, but will provide a copy to the parties upon request. Document Production Lists 1 and 2 describe the documents that are presumed to be discoverable in all arbitrations between a customer and a member or
The information provided on this page is for candidates who have elected to take their exam(s) at a local Prometric test center.
Sec. 3. Each member shall appoint and certify to the Secretary of the Corporation one "executive representative" who shall represent, vote, and act for the member in all the affairs of the Corporation, except that other executives of a member may also hold office in the Corporation, serve on the Board or committees appointed under Article IX, Section 1 or otherwise take part in the
Effective October 16, 2023, FINRA revised Rules 12800 and 12805 of the Code of Arbitration Procedure for Customer Disputes (Customer Code) and Rule 13805 of the Code of Arbitration Procedure for Industry Disputes (Industry Code) relating to the expungement of customer dispute information from the Central Registration Depository (CRD®). These frequently asked questions provide guidance regarding
The Business Continuity Plans (BCPs) section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
