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The Cybersecurity and Technology Governance section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Service members have access to one of the lowest-cost ways to save for retirement.
Updated as of March 25, 2024FINRA believes that it is appropriate, after a reasonable period of time, to look back at its significant rulemakings to determine whether a FINRA rule or rule set is meeting its intended investor protection objectives by reasonably efficient means, particularly in light of environmental, industry and market changes. These retrospective reviews look at the
FINRA believes that it is appropriate, after a reasonable period of time, to look back at its significant rulemakings to determine whether a FINRA rule or rule set is meeting its intended investor protection objectives by reasonably efficient means, particularly in light of environmental, industry and market changes.
If you need to reschedule or cancel your qualification exam or Regulatory Element Continuing Education (CE) session appointment, you must do so a minimum of 10 business days in advance to avoid any fees. Appointments rescheduled or cancelled within 10 business days will incur a fee.
<p>Application of Rules 3030 and 3040 to associated persons who receive commissions for brokering viatical settlement contracts.</p>
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined 10 firms a total of $43.5 million for allowing their equity research analysts to solicit investment banking business and for offering favorable research coverage in connection with the 2010 planned initial public offering of Toys"R"Us.
FINRA fined the following firms.
Barclays Capital
For Your Information
A Key Architect of the ABLE Act Recognized for Efforts to Advance Financial Capability for People with Disabilities
WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) today awarded Michael Morris the 2020 Ketchum Prize—its highest honor—for his extraordinary leadership in creating a better economic future for people with disabilities through advocacy, research and
Comment Period Expires: February 24, 1997
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Executive Summary
NASD Regulation, Inc. (NASD Regulation) requests comment on the use by NASD® members (securities broker/dealer firms) and their associated persons of bond mutual fund risk ratings in sales literature given to customers. In particular, NASD