The Cybersecurity and Technology Governance section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) observations and effective practices, and (3) additional resources.
SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule.
(a)
/01 Reserved.
/02 Information to be Disclosed
Statements of accounts to customers must clearly and prominently disclose on the front of the statement:
1. the identity of the introducing and
As described in a December 2019 TRACE Technical Notice, beginning June 1, 2020, members were required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier.
Due to current market conditions, and to allow members to adequately plan
ACTION REQUESTED
Intermarket Surveillance Group
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members discusses new uniform provisions regarding the automated reporting requirement for Electronic Blue Sheets (EBS).
Effective August 8, 2001 all members were required to:
(1)
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to
SUGGESTED ROUTING*
Corporate Finance
Government
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
*These are suggested
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Status
Code for Status
Description
EVEP Credit
EVEP_CREDIT
While valid, indicates an individual is qualified for the registration associated with the exam for fulfilling the requirements of NASAA’s Exam Validity Extension Program (EVEP).
Credit
CREDIT
While valid, indicates an individual is qualified for the
GUIDANCE
Amendments Regarding Deadlines for Submission of Initial Annual Report under Rule 3012 and Execution of the Initial Annual Certification under Rule 3013 and IM-3013
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
IM-3013 (Annual Compliance
and Supervision
