Frequently asked questions about FINRA BrokerCheck, a free tool for researching brokers, brokerage firms, investment advisers & investment adviser firms.
FINRA Revises Sanction Guidelines
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).
<p>FINRA Rule 2210 - Communications with the Public</p>
REQUEST FOR COMMENT
Compensation for the Sale of Investment Company Securities
Comment Period Expires: October 17, 2003
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
NASD Rule 2830
Revenue Sharing
April 19, 2001
On May 7, 2001, the Order Audit Trail System (OATS) will be instituting functionality that provides member firms with control of who submits OATS data on firms’ behalf. This document includes instructions on to how to build a header record, as well as how to create/maintain the relationships between the firm and its Order Sending Organizations (OSOs).
With the new functionality,
Distributed Denial of Service (DDoS) Attacks on Member Firms
FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms
Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
2019 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
