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.
This session provides an overview of new developments and trends in enforcement, including enforcement priorities. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities, and provide guidance on regulatory and compliance practices.
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
NASD Regulation, Inc. (NASD
Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
MARCH 18, 2020
Due to the coronavirus pandemic (COVID-19), FINRA is providing temporary relief for member firms from rules and requirements in the Frequently Asked Questions below. The relief provided does not extend beyond the identified rules and requirements. As coronavirus-related risks
Managing a retirement account takes some work. Your plan administrator generally handles your portfolio's actual transactions and the recordkeeping and reporting, but you decide when and how to reallocate and rebalance your assets.Beyond keeping tabs on the performance of your portfolio, you’ll want to know your plan’s rules and procedures and how much your plan and its investments are
In conjunction with the UTP Operating Committee (UTPOC) and Consolidated Tape Authority (CTA), FINRA will begin disseminating odd lot transactions via the Trade Data Dissemination Service (TDDS) on or about October 7, 2013.
In coordination with the SEC and the CFTC, we are conducting a review of the impact of Hurricane Sandy on firms’ operations and their ability to conduct business at a time when business continuity plans were enacted.
The GI Bill is a valuable benefit that has helped veterans pay for college since World War II. Learn how to make the most of the GI Bill and start using the benefits.
(a) No person associated with a member ("employer member") shall, without the prior written consent of the member, open or otherwise establish at a member other than the employer member ("executing member"), or at any other financial institution, any account in which securities transactions can be effected and in which the associated person has a beneficial interest.(b) Any
Financial planners can come from a variety of backgrounds and offer a variety of services. They might be brokers or investment advisers, insurance agents or practicing accountants—or they might have no financial credentials at all.
