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Executive Summary
Every person registered with a member of the NASD® must notify the NASD of his or her current mailing address. This obligation exists while a registrant is associated with any NASD member firm, and continues for as long as the NASD retains jurisdiction to bring a
The Contra Executing Firm 20 Minute Compliance report card is a monthly status report that provides information on transactions in which a firm failed, as the Contra Firm to accept / decline / compare trades within 20 minutes after execution, in apparent violation of FINRA Rules 7230A(b) and/or 7330(b). It provides information about the number of trades that were accepted / declined / compared
The Net Capital topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
1. What types of Dual Deficiencies exist?
There are three deficiencies: RR/RR, RR/RA, RA/RA. A state may have different requirements for each registration combination. Contact the state regulator directly.
The Securities and Exchange Commission (SEC) recently issued an investor alert listing some of the risks associated with using credit cards to buy investments or to fund an investment account.
Report Examines Attitudes, Behaviors of Investors Ages 18 to 25
WASHINGTON—FINRA Investor Education Foundation (FINRA Foundation) and CFA Institute have released a new report, Gen Z and Investing: Social Media, Crypto, FOMO, and Family.
The report examines attitudes and behaviors around investing among two Gen Z segments (ages 18 to 25) in the United States—those with and
FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
October 2008 Quarterly Disciplinary Review - FINRA publishes this quarterly review to provide firms with a summary sampling of recent disciplinary actions involving misconduct by registered representatives.
Firm Made Misrepresentations to Customers and Violated Reg BI as well as FINRA’s Suitability and Supervision RulesWASHINGTON—FINRA announced today that it has expelled broker-dealer SW Financial for multiple violations, including making misrepresentations to customers in its sales of private placement offerings of pre-initial public offering (pre-IPO) securities, churning customer
The simplified arbitration rules apply to arbitrations involving $25,000 or less, exclusive of interest and expenses
