Videos

Learn how to use the Non-registered Locations with RSL Status report template available in FINRA Gateway by watching this short video (2:23 minutes). The report template can be used to identify associated persons’ office of employment addresses marked as non-registered, private residences with outstanding “Yes” or “No” responses.

Learn how to amend a Form U4 filing to complete the RSL Question by watching this short (2:04 minutes) video.

Learn how to submit a Form BR amendment related to the Residential Supervisory Location (RSL) rule. In this short video (2:02 minutes), FINRA demonstrates a scenario for an existing branch that was previously filed with FINRA, the NYSE, and a state, but is now an RSL for FINRA and the NYSE, but not with the state.

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.

During its July 12 and 13 meeting, the FINRA Board of Governors Re-elected Eric Noll as chair, re-appointed public governors Deborah Bailey, Lisa Fairfax and Maureen Jensen, and approved three rulemaking items.

During its May 17 and 18 meeting, the FINRA Board of Governors appointed new public governor Lisa Fairfax, approved FINRA’s 2022 Annual Financial Report and appointed new members to FINRA Advisory Committees.

Join FINRA President and CEO Robert Cook and The Honorable Gary Gensler, Chair, U.S. Securities and Exchange Commission (SEC) for a conversation about industry topics impacting the markets and the financial services industry.

FINRA’s Board of Governors met on March 9 and 10, and it approved a proposal to shorten the securities settlement cycle from two business days after the trade date (T+2) to one (T+1) and approved the allocation of 2022 fine monies to various capital initiatives.

COVID 19 has increased the demand for virtual arbitration and mediation hearings to ensure cases can proceed without lengthy delays. Upon request of the parties or order of the Panel, FINRA Dispute Resolution Services provides videoconferencing through the Zoom platform, accessible via finra.zoom.us.

Updates from the June 2020 FINRA Board of Governors meeting.