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Below are all the compliance tools offered by FINRA.
Questions? Contact FINRA Support Center at (301) 590-6500 or by email.
Anti-Money Laundering Template
Books and Records Requirements Checklist for Broker Dealers
Breakpoints Checklist and Worksheet
Breakpoints Interest Refund Calculator
Breakpoints Sample Written Disclosure Document
BrokerCheck Link Requirements in FINRA Rule 2210
Kayte Toczylowski is Vice President of Member Relations and Education for FINRA. In leading the Member Relations and Education Department, Ms. Toczylowski’s responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms. Ms. Toczylowski also oversees FINRA’s Member Education area, which includes FINRA conferences and other member firm educational offerings
At FINRA, our employees are our greatest asset and include many of the brightest and most talented individuals in the financial services industry. We strive to create a diverse and inclusive culture where the thoughts and ideas of all FINRA employees are valued, appreciated and respected.
Since fairness is at the very heart of what we do, diversity in our workforce must mirror the same
These four Firm Grouping Webinars are free 75-minute sessions that highlight key topics that were discussed during the 2023 FINRA Firm Grouping Conference, provide updates on top compliance considerations that are tailored to each firm grouping (Retail, Capital Markets & Investment Banking, Clearing & Carrying, Diversified and Trading & Execution) and offer opportunities
Board of GovernorsFINRA’s Board is composed of 23 industry and public members. Learn more about the current Board members, selection process and terms of service.FINRA ExecutivesLearn more about the executives responsible for managing FINRA’s day-to-day operations.Standing CommitteesThe FINRA Board is authorized to appoint committees to facilitate and assist in the execution of the Board’s
Thank you, Mr. President-elect, I'm honored and humbled to be considered for this position.
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
INFORMATIONAL
Municipal Securities Transaction Reporting
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Customer Transactions
Inter-dealer Transactions
MSRB Rules G-12 And G-14
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds member firms about the obligations imposed by Municipal Securities Rulemaking Board (MSRB) Rules G-12
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS FEBRUARY 4, 1988.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed amendments to the NASD By-Laws and Rules of Fair Practice, and on proposed new government securities rules designed to permit the NASD to carry out its regulatory responsibilities under the Government Securities Act of 1986
As detailed in our October 14, 2020 rule filing with the SEC, FINRA is implementing a proportional increase to fees it relies on to substantially fund its regulatory mission in a manner that preserves equitable fee allocation across FINRA members. Specifically, FINRA is implementing increases to the Gross Income Assessment (“GIA”), Trading Activity Fee (“TAF”), Personnel Assessment (“PA”),