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
FINRA, NASWA Deliver Job Dislocation Resource to Unemployed Workers in All 50 States
This video series helps firms currently in the Membership Application Program (MAP) process including those who are considering registering a new broker-dealer firm or filing a continuing membership application. The five short videos outline the various stages of the process and highlight key resources.Membership Application Program - MAP TriageThis video addresses the MAP intake process,
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.
Account Statements: 08-77
Auction Rate Securities: 08-21
Bond Mutual Fund Volatility/Risk Rating: 00-23, 01-58, 03-48, 06-05
Books and Records: 96-82, 98-11, 03-33, 05-27, 06-45, 08-12, 08-28, 08-73, 10-06, 11-39, 17-18
Branch Offices: 02-52, 05-66, 05-67, 06-12, 14-11
Brokerage: 13-23
BrokerCheck Link: 14-19, 15-50
Capital Acquisition Broker Rules: 16-37, 17-14
Capital Formation: 17-14
The staff granted an exemption from FINRA Rule 5130 with respect to purchases of “new issues” by the Canada Pension Plan Investment Board.
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Regulatory Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council), on which the National Association of Securities Dealers, Inc. (NASD®) participates, has
FINRA Publishes Consolidated Criteria to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing
WASHINGTON — The Financial Industry Regulatory Authority has released guidance to help securities firms implement a new rule requiring enhanced price disclosure to retail investors for trades in corporate and agency bonds. The new requirements go into effect May 14, 2018.
The guidance, in the form of answers to frequently asked questions (FAQ), covers such topics as when the new disclosure
Next Step in an Ongoing Program to Protect Investors
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Board of Governors approved the next step in FINRA's ongoing initiative to strengthen controls on brokers with a history of significant past misconduct and to ensure greater accountability for firms that choose to employ high-risk brokers.
FINRA soon plans to issue a
