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April 1999
How Broker/Dealers Can Address Customer Concerns About The Year 2000
Investors are aware of the potential problems caused by the coming century change. As a result, they may consider changing their investing habits and strategies leading to more frequent questioning of their brokerage firms about the Year 2000 issue.
Leading up to the new year, it is important that broker/dealers
For Your Information.
Below are all the compliance tools offered by FINRA.
Questions? Contact FINRA Support Center at (301) 590-6500 or by email.
Anti-Money Laundering Template
Books and Records Requirements Checklist for Broker Dealers
Breakpoints Checklist and Worksheet
Breakpoints Interest Refund Calculator
Breakpoints Sample Written Disclosure Document
BrokerCheck Link Requirements in FINRA Rule 2210
The FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA’s unique rules and guidelines, as well as our current corporate organization. It consists of two main components:
Our Rules
FINRA’s rules and guidelines ensure a safe and fair market. These rules are constantly changing to adapt to new developments in the industry.
Our Corporate
Kayte Toczylowski is Vice President of Member Relations and Education for FINRA. In leading the Member Relations and Education Department, Ms. Toczylowski’s responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms. Ms. Toczylowski also oversees FINRA’s Member Education area, which includes FINRA conferences and other member firm educational offerings
When a FINRA member firm plans to undergo a change in business operations it is required to file a Form BD amendment and/or a Continuing Membership pursuant to FINRA Rule 1017(a)(5) depending on the nature of the change.
When contemplating expansions to their business activities, firms must determine whether the proposed expansion (1) represents a material change in business operations as
Board of GovernorsFINRA’s Board is composed of 23 industry and public members. Learn more about the current Board members, selection process and terms of service.FINRA ExecutivesLearn more about the executives responsible for managing FINRA’s day-to-day operations.Standing CommitteesThe FINRA Board is authorized to appoint committees to facilitate and assist in the execution of the Board’s
Dear Sirs:
I submit these comments in opposition to this FINRA Regulatory Notice:
I oppose limitations on use of ETFs that relate to "leveraged" or "inverse" funds. These ETFs are already fully disclosed to the public, and form a crucial part of many investor's plans for investing. Each individual is different; there is no "one size fits
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) proposed rules addressing the financial exploitation of seniors and other vulnerable adults. FINRA is proposing amendments that would require firms to make reasonable efforts to obtain the name of and contact information for a trusted contact person for a customer's
Board Approves Rule Proposals, Reviews 2019 Budget and Appoints New Public Governor
WASHINGTON – FINRA’s Board of Governors met on Dec. 12-13 at FINRA’s offices in New York, where it approved two rule proposals—both related to the dispute resolution forum—and approved the organization’s 2019 budget.
At the December meeting, the FINRA Board appointed Lance Drummond as a new public Governor.