FINRA's Dispute Resolution forum is a fair, efficient and cost-effective system to resolve disputes between and among investors, brokerage firms and individual brokers.
We have an aggressive recruitment campaign in place to seek individuals from diverse backgrounds to serve as arbitrators. Ongoing recruiting initiatives involve more than 100 organizations nationwide reaching out to all
Foundation Unveils New Website for Mobile Optimization and Enhanced User Experience
WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) today announced the appointment of three new members to its Board of Directors:
Mari J. Buechner, President and Chief Executive Officer, Coordinated Capital Securities, Inc.;
Laura Fisher, Senior Vice President, VOX Global; and
John W.
Please note: MSRB Rule G-32 has replaced MSRB Rule G-36, effective June 1, 2009; as a result, the MSRB G-36 Report Card is no longer being published.
FINRA shares an annual snapshot of some of the data collected in the course of its work to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals.
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About the Data
Data Description
The FINRA Industry Snapshot provides a high-level overview of the industry, ranging from the number of FINRA-registered individuals to the overall
It does not make any sense to create legislation to make investing more exclusive, especially if it rules out the very people you espouse to "protect". The last thing we the people want from FINRA is to make investing yet more of an exclusive club for the elites. It is honestly disgusting that you are pursuing legislation in this domain given the glaring issues which have come
BrokerCheck Release Notes
I could go into a long monologue about why this is wholly unnecessary, and un-American, but I'm a very busy man, a business owner and former Series 7, 6, and 66 SEC license holder, so I know I qualify to invest in this stuff and probably will regardless of whatever ridiculous rules you grifters dream up. I also have been doing business and investing stuff long enough to know that you corrupt
FinPro now offers two optional features that permit users to collaborate with their firms on a draft Form U4:Allow Rep Edits grants individuals the ability to review and modify a draft, andthe E-Signature feature offers reps the option to sign a completed form electronically rather than with a pen.Firms can enable one or both of these optional tools to streamline the work performed while
Jacqueline Perrell is Senior Vice President and Chief of Staff in Market Regulation and Transparency Services. Ms. Perrell is responsible for overseeing a wide variety of core functions within the department, including strategic initiatives, business operations, training and development, and regulatory compliance functions. Previously, Ms. Perrell was Vice President in Member Supervision and the
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
Within 21 days after the filing of a notice of appeal or notice of review, or at such later time as the National Adjudicatory Council may designate, the
