(a) When to File(1) In proceedings before the Office of Hearing Officers pursuant to the Rule 9000 Series, complaints and other papers that are required to be filed with the Office of Hearing Officers shall be filed through the OHO Portal and deemed filed as of the date of submission to the OHO Portal, unless otherwise ordered by the Hearing Officer, Hearing Panel or Extended Hearing Panel.(2)
AI-based applications offer several potential benefits to both investors and firms, many of which are highlighted in Section II. Potential benefits for investors include enhanced access to customized products and services, lower costs, access to a broader range of products, better customer service, and improved compliance efforts leading to safer markets. Potential benefits for firms include
FINRA Rule 1210.09 established a waiver program for eligible individuals who left a member firm to work for a foreign or domestic financial services affiliate of a member firm with FINRA. FSAWP participants will be granted a waiver of their requalification requirements, including the Securities Industry Essentials® (SIE®) Exam, upon reapplying with FINRA within a single, fixed seven-year period,
FINRA disciplinary actions for the month of July 2025. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
As a neutral party, the Ombuds does not take sides on any issues brought to our attention, but considers the interest and concerns of all parties to a situation with the objective of achieving fair outcomes. Neutrality is the Ombuds' goal, and carrying out that role demands fairness, objectivity, impartiality and even-handedness despite personal preferences.
Jim Reese is Senior Vice President of Data and Analytics for Member Supervision at FINRA. Mr. Reese leads a team of data analysts, risk specialists and data scientists responsible for developing and executing innovative advanced analytics, risk and predictive models, graph and other visualizations to enable, inform and drive the efficiency and effectiveness of Member Supervision and its
FINRA’s Regulation Best Interest Conference, held on December 18, 2019, in Washington, DC was a one-day event designed to bring regulators, executives and industry practitioners together to learn more about Regulation Best Interest (Reg BI).
Location
Capital Hilton
1001 16th St. NW
Washington, DC 20036
Recordings of sessions are now available. View the recorded sessions from the 2019 FINRA
2018 FINRA Regional Committee Election
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the second quarter of 2018.
New Payments for Market Making Certification Requirement for FINRA Form 211
