FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
July 29, 2020FINRA President and CEO Robert Cook and Vice President and Deputy of Member Relations and Education Kayte Toczylowski were joined by FINRA senior staff to discuss recent updates, including the new FAQ about exemption reporting under SEA Rule 15c3-3, how to adjust supervisory systems to a remote work environment, and recent guidance on retail communications concerning private
Frequently Asked Questions (FAQ) regarding the purpose of FINRA Rule 3230 and “do-not-call-lists”
The following questions and answers provide guidance regarding the operation of FINRA Rule 2080, which was formerly NASD Rule 2130.
FINRA would like to remind member firms of their obligation to file their 3070/Customer Complaints by their required due dates.
SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative
The Red Flags Rule requires that each "financial institution" or "creditor" --which include most member firms--implement a written program to detect, prevent and mitigate identity theft in connection with the opening or maintenance of "covered accounts."
Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in losses. That’s why FINRA worked to update Rule 4512 and implement Rule 2165 to help broker-dealer firms and their representatives protect their senior and other vulnerable adult customers. On this episode, we learn more.
(a) Members and member organizations must furnish the Exchange with all of the profile information required by the Exchange's Electronic Filing Platform ("EFP"), and must comply with any Exchange request for such information promptly, but in any event not later than thirty days following such request.
(b) Members and member organizations must update their required membership
