The effective date has been delayed to December 2, 2019
Important Note: Weekly aggregate non-ATS volume data is published on a two-week delayed basis for Tier 1 NMS stocks and a four-week delayed basis for Tier 2 NMS stocks and OTC equity securities. To align the implementation of the rule amendments for these data sets, FINRA has modified the initial publication timeframes described in footnote
Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
Executive Summary
This Notice advises broker-dealers engaged in the business of agency securities lending that the Agency Lending Disclosure Taskforce (Industry Taskforce), composed of, among others, representatives of the securities industry, regulators, and the Depository Trust & Clearing Corporation (DTCC), has recommended, through its Agency Lending Disclosure Initiative, certain
GUIDANCE
Regulatory Element Exemptions
Effective Date: April 4, 2005
SUGGESTED ROUTING
KEY TOPICS
Continuing EducationLegal and ComplianceRegistered RepresentativesSenior Management
RegistrationTraining
Continuing EducationRegulatory ElementRule 1120
Executive Summary
On September 27, 2004, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 1120 (Continuing
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
Statistical Overview of Brokerage Firms, Registered Individuals and Trading Activity
WASHINGTON—FINRA today published the FINRA Industry Snapshot 2018, its first annual statistical report on the brokerage firms, registered individuals and market activity that FINRA regulates.
The publication includes data ranging from the size and geographic distribution of the firms FINRA regulates to the
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
Join the FINRA Investor Education Foundation, FINRA's Office of the Chief Economist, and NORC at the University of Chicago for a discussion with leaders in academia, industry, and regulators to explore original academic and industry research and the current body of policy governing diversity, equity, and inclusion in the capital markets. During this event, panelists examine methods and
