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About FINRA

FINRA Forward

FINRA Forward represents our commitment to evolving with the changing securities industry. As markets transform, we're adapting our approach to pursuing our mission of protecting investors and safeguarding market integrity.
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Report / Study

2025 Industry Snapshot

In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of our work.
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Media Center

Previewing FINRA’s Crypto and Blockchain Education Program

As member firm activity increases in blockchain and crypto assets, FINRA is launching a Crypto and Blockchain Education Program designed to empower member firm compliance and combat crypto fraud.
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See What's New

How FINRA Serves Investors and Members

As a not-for-profit, self-regulatory organization with an 85-year history, FINRA pursues its mission of promoting investor protection and ensuring market integrity in many ways.

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Exposing Insider Risk

FINRA’s Insider Trading Detection Program is designed to provide U.S. law enforcement and regulators worldwide with actionable intelligence about potential insider trading that occurs on the U.S. markets. The intelligence we provide—over 450 referrals in 2023 alone—routinely result in criminal and civil action.

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FINRA’s Crypto Hub

The Crypto Hub is a FINRA-wide effort to ensure we are prepared to fulfill our regulatory mission regarding the crypto asset-related activities of member firms and associated persons. The Hub serves as a nerve center to manage FINRA’s regulatory work related to crypto assets.

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Announcements

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Requests for Comments
FINRA Extends Comment Periods for Rule Modernization Notices 25-04, 25-06 and 25-07.
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@FINRAOfficial
Follow FINRA on Instagram
Follow FINRA's new Instagram page at @FINRAOfficial to find investor-focused content designed to help the everyday investor up their investing know-how.
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Information Notice
FINRA Reminds Firms That NSCC Has Modified the ACATS Transfer Process
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Notice
Notice of SFAC Election and Mailing of Ballots
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Notice
Notice of FINRA Regional Committee Elections and Mailing of Ballots
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2020068810001 Jimmy J. Galindo CRD 2922619 AWC lp (2024-1706833192399).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068810001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jimmy J. Galindo (Respondent) General Securities Representative CRD No. 2922619 Pursuant to FINRA Rule 9216, Respondent Jimmy J. Galindo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2024-002

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members  related to certain historical costs of the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) incurred prior to January 1, 2022.  These fees would be payable to Consolidated Audit Trail, LLC (“CAT LLC” or “the Company”)  and referred to as Historical CAT Assessment 1.

SR-FINRA-2024-003

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6897(b) (CAT Cost Recovery Fees) to Implement a Historical Consolidated Audit Trail Recovery Assessment.

This filing has been withdrawn.
 

SR-FINRA-2024-001

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 3240 (Borrowing From or Lending to Customers).
 

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