FINRA assesses and collects regulatory fees that fund FINRA’s regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan and Finance Committee Chair Jim Weddle to discuss rulemaking and other issues addressed at FINRA's December 5 Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
Firm Required to Retain an Independent Consultant
WASHINGTON – FINRA announced today that it has fined Cantor Fitzgerald & Co. (Cantor) $2 million for Regulation SHO (Reg SHO) violations and supervisory failures spanning a period of at least five years. As part of the settlement, Cantor also agreed to retain an independent consultant to conduct a comprehensive review of the firm’s
As announced in Regulatory Notice 13-09, FINRA has established two optional, fee-based TRACE data delivery services to increase firms’ flexibility and access to data available through FINRA’s Automated Data Delivery System (FINRA ADDS).
Fellows Provide Military Service Members and Their Families with Financial Counseling and Education Services While Earning Professional AFC® Credential
WASHINGTON — Starting today, the FINRA Investor Education Foundation Military Spouse Fellowship is accepting applications for its 2019 class of financial FINRA Fellows — a unique program designed to increase the financial capability of U.S.
FINRA Revises Indexed Amounts for Monetary Sanctions in the Sanction Guidelines
In a follow up to a recent episode of A Few Minutes With FINRA, FINRA Executive Vice President of Enforcement Susan Schroeder answers questions FINRA has received from firms in response to its 529 Plan Share Class Initiative. (11 min. 58 sec.)
