Thank you FINRA for extending the period for commenting. Also, I thank you for attempting to make the U.S. Equities Market a fairer and safer place for retail investors to do business. This year is the first in which I became a direct participant in the U.S. Stock Market. Before this year I only passively participated though my retirement plan, but this year I proudly became a retail investor.
The Outside Business Activities and Private Securities Transactions topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Answer – A respondent's written reply to a claim.
Arbitration Case Administrator – The person at FINRA who handles administrative matters in arbitration proceedings.
Arbitrator – A person chosen to decide arbitration disputes between parties.
Associated Person – An associated person is any person engaged in the investment banking or securities business who is directly or indirectly
The Anti-Money Laundering, Fraud and Sanctions topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Protecting investors means protecting their data, too. Our Small Firm Cybersecurity Checklist supports small firms in establishing a cybersecurity program to:Identify and assess cybersecurity threats;Protect assets from cyber intrusions;Detect when their systems and assets have been compromised;Plan for the response when a compromise occurs; andImplement a plan to recover lost, stolen or
Short selling, as a tool was intended to hit back at corporations that were found to be cooking the books. Unfortunately, today it is a tool with nefarious intention with no regard for the impact it might have have on an otherwise good company, it's entire employee base and downstream jobs it involves itself in. As one who has managed portfolios and also invests privately it has never been
See link to FINRA Regulatory Notices 21-31, which includes the schedule and instructions:
https://www.finra.org/sites/default/files/2021-09/Regulatory-Notice-21-31.pdf
SECTION 1. REVERSE REPURCHASE AND REPURCHASE AGREEMENTS
Question 1.1: The instructions under Section 1 state in part that members should report the gross contract value of all reverse repurchase and repurchase agreements by
97-75 attachments (PDF Format)
Note: voting by NASD member executive representatives only through mail ballots distributed with print version of this Notice.
Last Voting Date: November 13, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) invites members to
Two important regulatory developments relate to obtaining customer information: the Anti-Money Laundering Customer Identification Rule and the SEC's Books and Records Customer Account Records Rule. These rules require that important customer identification be obtained. However, these rules have critical differences including their purposes, their definitions, and their timing requirements. We created this document to assist our member firms. It contains brief summaries of the rules' relevant provisions.
FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information
