FINRA’s Membership Application Program Group (MAP) serves as the entry point to the securities industry by ensuring that prospective and current FINRA members meet FINRA’s Standards for Admission (Standards). Prospective FINRA members must seek approval for membership through the submission of a New Member Application (NMA). Existing FINRA members must file a continuing membership application
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today announced the results of voting that took place at its 2012 Annual Meeting today in Washington, DC.
Study Suggests Overconfidence in Financial Knowledge May Lead to Excessive Financial Risk Taking Among Older Investors
WASHINGTON, D.C. – America’s older investors, many facing diminished financial knowledge and overconfidence in their ability to make sound investment decisions, may engage in more risky financial behaviors as they continue to age, according to new research from the FINRA
These Rules of Conduct set forth the terms and conditions of your participation in a Regulatory Element Continuing Education (CE) session. You must read and agree to the following statements before starting your Regulatory Element CE session.
I understand that if I violate any of the following rules of conduct, my CE session results will be forfeited and I may be subject to disciplinary action
WASHINGTON -- The Financial Industry Regulatory Authority (FINRA) announced today the launch of a pilot program specifically designed for large arbitration cases involving claims of $10 million or more.
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
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Corporate Debt Securities
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Executive Summary
NASD has received multiple requests to broaden the provision of
previously non-public historic Trade
March 24, 2008
Dear FINRA Member:
We are writing to highlight new and existing areas that are of particular significance to FINRA's examination program for 2008. We hope you find valuable insights into some of the most important topics regarding FINRA examinations, and that it helps you assess your firm's compliance and supervisory programs.
One change to the examination program that
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the distribution of ballots to elect one North Region and one West Region representative to the Small Firm Advisory Committee (SFAC). FINRA small firm members1 in the North and West Regions as of the close of business on October 18, 2021, are eligible to vote in these elections.
Ballots are due by
