Displaying 7641 - 7650 of 9026 Results
Board Approves Annual Financial Report, Enforcement Digital Transformation Initiative and Three Rulemaking Items
WASHINGTON – FINRA's Board of Governors met virtually on June 10 and 11. During the meeting, the Board approved three rulemaking items and approved the organization's Annual Financial Report, which FINRA issues each year to provide transparency regarding its finances. The
• Disqualified Persons—Failure to Discharge Supervisory Obligations
• Supervision—Failure to Comply With Taping Rule Requirements
• Supervision—Failure to Supervise
• Supervisory Procedures—Deficient Written Supervisory Procedures
Disqualified Persons—Failure to Discharge Supervisory Obligations
FINRA Rule 2010 and NASD Rule 3010
Principal Considerations in
/**/
Table of Contents
1.1 Sizes and Counts
Figure 1.1.2 FINRA-Registered Representatives by Firm Size, 2018-2022
Table 1.1.3 FINRA-Registered Representatives by Firm Size, 2018–2022
Figure 1.1.4 Average and Median Number of FINRA-Registered Representatives per Firm, 2018-2022
Table 1.1.5 Average and Median Number of FINRA-Registered Representatives per Firm, 2018-2022
Figure 1.1.6
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today joined the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC)'s Division of Swap Dealer and Intermediary Oversight in issuing a staff advisory on business continuity and disaster recovery planning.
Washington, DC — The Financial Industry Regulatory Authority (FINRA) announced today that it has established a special process for resolving auction rate securities-based claims in its arbitration forum.
WASHINGTON – FINRA announced today that it has fined LPL Financial, LLC $2.75 million for complaint-reporting and AML program failures that spanned a period of more than three years.
FINRA found that LPL failed to file or amend registered representatives’ Forms U4 or U5 to disclose dozens of reportable customer complaints. LPL too narrowly interpreted the requirement that a complaint contain
1. What is the Form BR?
Form BR is the Uniform Branch Office Registration form that enables firms to "register" or "notice file" branch offices electronically through Web CRD® with FINRA, the New York Stock Exchange, Inc. (NYSE) and other participating jurisdictions.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Congress has recently enacted legislation that expands the number of criminal or civil offenses that are considered statutory disqualifications under the securities laws. Any felony conviction, certain foreign convictions,
ACTION REQUIREDBroker-Dealer and Investment Adviser RenewalsPayment Deadline: December 6, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementRegistered Representative, RegistrationIARDSMMaintenance FeesRegistrationRenewalsWeb CRD®Executive SummaryThe 2005 NASD Broker/Dealer and Investment Adviser Registration Renewal Program will begin on
New study finds lack of financial literacy linked to high levels of stress and anxiety
WASHINGTON (April 28, 2021)—A substantial number of adults in the United States between the ages of 21 and 62 felt anxiety and stress about their personal finances well before the onset of the COVID-19 pandemic, according to a new report published today. Researchers found that financial stress and anxiety are