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4 5 A B C D E F G H I L M N O P Q R S T V

June 16, 2020

Mr. Michael Markunas
Deputy General Counsel
Chief Compliance Officer
B. Riley FBR, Inc.
11100 Santa Monica Blvd, Suite 800
Los Angeles, CA 90025

Re:      Investment Banking Referrals

Dear Mr. Markunas:

June 16, 2020
Get Involved
This week, the FINRA Board of Governors will meet virtually for its June 2020 meeting.
June 08, 2020

FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.

June 04, 2020

Learn More About the Enhanced U4 Filing Experience

FINRA is launching an enhanced Form U4 filing experience for all firms on October 5, 2020. The benefits of these enhancements include: a more intuitive user experience, improved data quality and streamlined collaboration between firms and their registered representatives. Please review the webinar recording available on this page for a demonstration of the enhanced experience that will be available in October, as well as the frequently asked questions below.

June 03, 2020
Frequently asked questions regarding FINRA Rule 2210, filing requirements and the how to use the Advertising Regulation Electronic Filing (AREF) system.
May 20, 2020
Virtual Conference Panel
As we navigate the challenges posed by COVID-19 and the need to halt the spread of this pandemic, many of us are settling into a routine of working from home. Cybercriminals are alert to the work from home trend and they are using this to their advantage to infiltrate our organizations. Join FINRA staff and industry panelists as they provide examples of effective controls and tools their firms have put into place to monitor and address cybersecurity risks.
May 19, 2020
Events & Training
Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts.
May 13, 2020
Report / Study

Seniors make up an increasingly large share of the American population1 and hold higher levels of wealth than other generations. These factors, among others, make seniors an attractive target for financial exploitation, with evidence suggesting that such exploitation has been increasing in terms of both scope and magnitude.2 Sadly, while seniors sometimes fall victim to financial exploitation by strangers, they are often exploited by individuals they know and trust, such as family members or caregivers.

April 30, 2020

Will I be able to log in to FINRA Gateway with my existing Firm Gateway credentials? 

Yes, Firm Gateway users will be able to log in to FINRA Gateway using their existing Firm Gateway credentials.

Can I customize my experience in FINRA Gateway? 

Yes. As of April 7, 2020, you can:

April 15, 2020
FINRA is sharing the following common practices we observed while conducting Reg BI preparedness reviews and other ongoing conversations with firms. We hope this helps firms assess their Reg BI initiatives and continue their work preparing for the compliance date.
April 08, 2020

In response to the COVID-19 pandemic, a growing number of states and localities have issued workplace restrictions as part of their efforts to prevent the spread of the disease. These “shelter-in-place” or “stay-at-home” orders vary in scope and duration, but generally require businesses not considered “essential” to close their physical offices and continue their operations remotely.

April 03, 2020
The new coronavirus that causes COVID-19 has rapidly changed the way U.S. broker-dealers must conduct business as states implement various shelter-in-place and stay-at-home orders, forcing workers remote. On this episode, we talk to FINRA’s Chief Legal Officer and Head of Member Supervision to learn how FINRA is adapting its operations and providing important regulatory relief.
March 31, 2020

Due to the coronavirus pandemic (COVID-19), FINRA is providing temporary relief for member firms from rules and requirements in the Frequently Asked Questions below. The relief provided does not extend beyond the identified rules and requirements. FINRA will continue to monitor the situation to determine whether additional guidance and relief may be appropriate. As coronavirus-related risks decrease, member firms should expect to return to meeting any regulatory obligations for which relief has been provided.

March 24, 2020

Updated On March 20, 2020, the Securities and Exchange Commission (the Commission) issued an order that, among other things, provides a temporary exemption until May 30, 2020 from the fingerprinting requirements of Securities Exchange Act Rule 17f-2 for FINRA members (the “March 20 Order”). On May 27, 2020, the Commission issued an order extending the temporary exemption until June 30, 2020.

March 24, 2020
FINRA remains fully operational during the COVID-19 outbreak through the support of our robust remote work capabilities, and we continue to carry out our regulatory responsibilities of protecting investors and market integrity in these challenging times.
March 23, 2020
Updates from the March 2020 FINRA Board of Governors meeting.
March 18, 2020
Get Involved
This week, the FINRA Board of Governors will hold its first meeting of 2020.
March 10, 2020

February 2020

Trading & Financial Compliance Examinations (“TFCE”) of the Market Regulation Department (“Market Regulation”) at the Financial Industry Regulatory Authority, Inc. (“FINRA”) is conducting a review of [FIRM] concerning the Firm’s decision not to charge commissions for customer transactions, the impact that not charging commissions has or will have on the Firm’s order routing practices and decisions, and other aspects of the Firm’s business. 

February 20, 2020
FINRA CEO Robert Cook, members of the FINRA Board of Governors and FINRA staff provide updates from the December 2019 FINRA Board of Governors meeting.
December 13, 2019
Get Involved
This week, FINRA’s Board of Governors will convene in New York for our final meeting of 2019.
December 02, 2019
Frequently Asked Questions (FAQ) regarding the purpose of FINRA Rule 3230 and “do-not-call-lists”
November 27, 2019

Is there a rule that addresses prohibited conditions relating to expungement of customer dispute information?

Yes, FINRA Rule 2081 provides that no member or associated person shall condition or seek to condition settlement of a dispute with a customer on, or to otherwise compensate the customer for, the customer’s agreement to consent to, or not to oppose, the member’s or associated person’s request to expunge customer dispute information from the CRD system. 

Does FINRA Rule 2081 apply only to settlements?

November 22, 2019
2019 Exam Findings Report


In both 2017 and 2018, FINRA issued Reports on Examination Findings in response to firms’ requests that we make publicly available a summary of key findings from FINRA’s examinations of member firms. Firms use this information, as well as effective practices observed by FINRA at certain firms, to anticipate potential areas of concern and improve their procedures and controls.

October 16, 2019
Soon brokerage firms will have to comply with a new standard of conduct when working with retail clients with the implementation of Regulation Best Interest. What is the new standard? What will firms need to do to comply? Tune in to learn more from FINRA’s Chief Legal Officer.
October 15, 2019