FINRA has created this page to educate member firms on “Firm Identity Theft”.
FINRA’s new account opening template is customizable so that firms can make the form their own.
The New Account Application Template is a voluntary model brokerage account form that is provided as a resource to firms when they design or update their new account forms.
Contact information for questions about licensing TRACE data.
The Global Settlement followed joint investigations by the regulators into alleged conflicts of interest between investment banking and securities research at brokerage firms.
Rules and procedures applicable to members seeking to hire or retain a person who becomes "subject to disqualification," and for members that themselves become subject to disqualification
FINRA collaborates with international regulators to support and improve oversight of firms with global operations. Specifically, FINRA International works to:
In November 2000, the SEC adopted Exchange Act Rule 11Ac1-5. Rule 11Ac1-5 is aimed at improving public disclosure of order execution quality. Under Rule 11Ac1-5, the SEC requires market centers that trade national market system securities to make monthly electronic reports.
July 2008
The Market Regulation Department of FINRA, in coordination with NYSE Regulation, is conducting a review of Broker-Dealer's (the "firm") compliance with: NYSE Rule 435(5), which prohibits the circulation of false or misleading rumors "of a sensational character which might reasonably be expected to effect market conditions"; NASD Rule 5120(e), which prohibits
