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Protecting investors from harm is a top FINRA priority. And when it comes to specific individuals who may pose a risk, FINRA's High Risk Representative Program is on the case, identifying and monitoring individuals who pose an elevated risk of misconduct to protect investors and maintain the integrity of the market.
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 15, 1989, the Securities and Exchange Commission issued Release No. 34-27249 containing proposed amendments to Rule 15c3-1
On October 2, 2023, FINRA will launch the new Fingerprint Program for Transfer Agents and Clearing Agencies (TA/CAs) as the SEC declared FINRA's updated Fingerprint Plan effective September 22, 2023. This Program outsources fingerprint processing to Sterling Identity (Sterling), the same FBI-approved channeler that processes fingerprints for broker-dealers on FINRA’s behalf.
Rule Filing Status As Of March 4, 1999
NASD Rule Filing Status
The following is a list of rule filings by the National Association of Securities Dealers, Inc. (NASD® or Association) that are pending at the Securities and Exchange Commission (SEC); recently have been approved and have not been announced in a Notice to Members; or recently have been withdrawn. The information is current as of
FINRA published the 2024 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms and market activity that FINRA oversees.
A succession plan is vital to ensuring the continued success of your firm. Join FINRA staff and industry panelists as they discuss considerations for developing a succession plan that works for your business.
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent reports of a CrowdStrike service outage affecting Microsoft operating systems. FINRA continues to monitor the outage.
FINRA's new Machine-Readable Rulebook is designed to enhance firms' compliance efforts, reduce costs and aid in risk management, with a lot to gain for firms of all sizes and various business models. On this episode, we hear what exactly the Machine-Readable Rulebook is, how it works, and how you can start taking advantage of all it has to offer.
FINRA has observed that bad actors are using sponsored search result ads to impersonate some FINRA member firms’ support centers. When an individual clicks on the ad, instead of being directed to the firm’s page, they’re taken to a fraudulent website. The scammers then attempt to steal funds or personal information from their targets.