FINRA’s Enforcement Department is conducting an inquiry with respect to forex trading.
In 2009 FINRA conducted a voluntary firm survey to determine preparedness for a pandemic in light of current events involving influenza A (H1N1). This survey continues FINRA's efforts to assist firms with business continuity planning by facilitating the exchange of information.
FINRA is reviewing transactions with retail customers of certain fixed income products known as “Gas Bonds.”
FINRA is reviewing retail municipal securities transactions. In connection with this review, we request your firm to produce the following information relevant to retail customer municipal transactions by your firm for the period from January 1, 2009 through March 31, 2009.
The Red Flags Rule requires that each "financial institution" or "creditor" --which include most member firms--implement a written program to detect, prevent and mitigate identity theft in connection with the opening or maintenance of "covered accounts."
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.
