The FINRA Disciplinary Actions Online system provides the general public with access to FINRA Disciplinary Actions ("Actions").
The timely receipt of firms’ annual audited financial statements is critical to FINRA’s ability to carry out its regulatory obligations.
Rulemaking topics discussed include:
private placements,
debt research conflicts of interest,
short interest reporting,
minimum quotation sizes,
consolidated FINRA registration rules, and
replies to responses to motions in arbitration.
The following are rulemaking items the FINRA Board of Governors will consider at its December 2010 meeting - this information is being published to provide additional transparency in the rulemaking process.
The trading activity fee (TAF) is one of the regulatory fees FINRA assesses to recover the costs of supervising and regulating firms.
FINRA is reviewing the sale of structured products to investors. In connection with this review, we request the following information for the period of January 1, 2007 to May 31, 2009 (“the review period”).
FINRA is reviewing activities of member firms acting as or working with placement agents in soliciting and/or obtaining business with municipalities and public pension funds.
Rulemaking items discussed at the September 2010 meeting include:
arbitration,
disclosure,
statutory disqualifications,
executive compensation, and
regulatory proposal notification.
FINRA's Enforcement Department is conducting a review of broker/dealers that provide Direct Market Access, Naked Access, Electronic Access or Sponsored Access ("DMA") to their customers.
File Transfer Applications (e.g., Shorts, Blue Sheets, ATS, REG M File Transfer, IFDF File Transfer and Rex File Transfer, etc.) are used by organizations to send and receive files through FTP.
