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Publication Date: February 23, 2023Interpretations are marked in blue background beneath the rule text to which they relate.15c3-3aExhibit A - Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3 CreditsDebits 1.Free credit balances and other credit balances in customers' security accounts. (See Note A)XXX 2.Monies borrowed
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) has issued a warning about scams that purport to offer investors' access to pre-IPO shares of well-known social media companies, including Facebook.
Agenda | May 16-18, 2023
All times are listed in Eastern Time. All sessions are streaming live.
Monday, May 15
5:00 p.m. – 7:00 p.m.
Registration
Tuesday, May 16
7:30 a.m. – 6:00 p.m.
Registration
7:30 a.m. – 5:30 p.m.
FINRA IDEA – Innovation, Demonstration & Engagement Area
Networking With Exhibitors
7:30 a.m. – 10:00 a.m.
General Breakfast &
Composition of Panels
(a) Generating Lists
(1) The list selection algorithm will generate:
(A) A list of 10 arbitrators from the FINRA non-public arbitrator roster;
(B) A list of 15 arbitrators from the FINRA public arbitrator roster; and
(C) A list of 10 public arbitrators from the FINRA chairperson roster.
(2) The list selection algorithm will generate the chairperson list first. Chair-
Comment Period Expires October 14, 1994
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
An Open Letter To Members Of The Financial Services Industry Regarding Compensation Of Retail Brokers And Their Supervisors August 29, 1994
As you may be aware, Securities and Exchange Commission Chairman Arthur Levitt asked us to serve on a committee to examine the securities industry's
Intelligence means different things to different people. But for FINRA, at its most basic, it is the actionable information that allows employees, from an organization’s senior executives to its examiners or investigators, to make informed decisions. On this episode, we sit down to learn about FINRA’s new Financial Intelligence Unit, and how it is looking to transform how FINRA takes in, analyzes, and shares data.
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Cloud Strategy Enables Seamless Processing and Robust Market Surveillance
WASHINGTON — FINRA processed an unprecedented amount of market activity through the first six months of 2018, averaging a record 57.9 billion electronic records per day during the period — a 62-percent increase over the average daily volume in 2017. FINRA’s pioneering cloud strategy has allowed it to handle
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).
New FINRA360 Initiative Improves Data Quality for Regulators and Investors, and Lowers Firm Compliance Risks and Costs
WASHINGTON—FINRA is launching an enhanced disclosure review process for public financial records of individuals seeking registration with a brokerage firm. Beginning on July 9, FINRA will perform a public records review within 15 calendar days after a firm applies to register
FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms