Regulatory Notice
Notice Type
Guidance
Key Topic(s)
Form U4
Registration
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Registration
Senior Management
FINRA Registration via Form U4
Executive Summary
FINRA reminds member firms that when an associated person of a member is registered with another SRO in a registration category recognized by FINRA, the member must
The FINRA West Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the West Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides opportunities
Tuesday, February 68:00 a.m. – 9:30 a.m.General Breakfast9:30 a.m. – 10:25 a.m.Welcome Remarks and Keynote Speaker: Latest Trends in CybersecurityLearn more about the intersection between cybersecurity and emerging technologies such as generative artificial intelligence and how digital advancements will shape the future cyber threat landscape and industry response.10:25 a.m. – 10:45 a.m.
The FINRA Midwest Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the Midwest Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
The NASD® is publishing a direct participation program (DPP or limited partnership) directory in anticipation of the quotation of DPP securities on the OTC Bulletin Board® Service (OTCBB®) and the commencement of trade reporting of transactions in DPPs on May 15, 1997. Members should
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to temporarily amend FINRA Rules 1015, 9261, 9524 and 9830 to grant FINRA’s Office of Hearing Officers (“OHO”) and the National Adjudicatory Council (“NAC”) authority to conduct hearings in connection with appeals of Membership Application
Overview
This publication outlines emerging insider threat risks and helps member firms identify, prevent, detect, and respond to these threats, including:
identifying how insider threats can occur at firms, and what factors may indicate that these attacks are on the rise;
providing a summary of core controls and effective practices firms may consider when evaluating their insider threat
FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the September 2017 FINRA Board of Governors meeting, including the rule proposals, committee news and other items that were discussed.
FINRA Firm Grouping Member Forums are one-day free events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers.
Welcome, it’s great to see all of you here this morning. We have a great program for you today.