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
The FINRA South Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the South 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
(a) A covered member that engages in distribution or solicitation activities with a government entity on behalf of any investment adviser that provides or is seeking to provide investment advisory services to such government entity shall maintain books and records that pertain to Rule 2030, including a list or other record of:
(1) The names, titles and business and residence addresses of
FINRA’s examination, surveillance and risk monitoring programs play a central role in supporting FINRA’s mission of investor protection and market integrity.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Summary
The Securities and Exchange Commission (SEC) approved a rule change to amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) to modify the rules to enhance regulatory consistency and address unintended operational impediments.1 These changes become effective on January 1, 2020.
The
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Figure 1.2 FINRA-Registered Representatives by Firm Size
Table 1.2 FINRA-Registered Representatives by Firm Size, 2015–2019
Figure 1.3 Average and Median Number of FINRA-Registered Representatives per Firm
Table 1.3 Average and Median Number of FINRA-Registered Representatives per Firm, 2015–2019
Figure 1.4 Securities Industry Registered Individuals by Type of
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Personal Securities Transactions for or by Associated Persons
<p>NASD Rules 6950-6957 (OATS)</p>Clarification of application of the OATS rules.
Diversity has been a focus for FINRA’s Board of Governors for several years— and recently the Board achieved a significant milestone from a diversity perspective. On this episode we talk to FINRA’s Corporate Secretary and Deputy Corporate Secretary to hear how FINRA’s Board of Governors got to where it is today, and also to hear why diversity very much remains a perpetual work in progress.
