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FINRA Chairman and CEO Rick Ketchum and Lead Governor Jack Brennan review rulemaking and other issues discussed at FINRA's February Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
The following FAQs are being provided in addition to Q10 - Q21 in Section II of the Data Collection Requirements for Broker-Dealers FAQs published by the Plan Participants on October 12, 2015.
Effective June 6, 2016, FINRA Rule 2210 (Communications with the Public) requires a firm to include a readily apparent reference and hyperlink to BrokerCheck on the initial Web page that the firm intends to be viewed by retail investors, and any other Web page that includes a professional profile of one or more registered persons, who conduct business with retail investors. A summary of the rule’s requirements is available in Regulatory Notice 15-50.
FINRA Chairman and CEO Rick Ketchum, Lead Governor Jack Brennan and Finance Committee Chairman Jim Weddle review rulemaking and other issues discussed at FINRA's December Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
FINRA webinars are free, online video programs delivered right to your desktop. Webinars include panel discussions with FINRA staff and/or industry experts, and feature online resource materials that participants can access from their own computers.
FINRA is committed to ensuring that all respondents are treated fairly in the disciplinary process. Below, you will find brief answers to a number of questions frequently asked by respondents. We hope these answers will be helpful in orienting you to the disciplinary process.
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan to review rulemaking and other issues discussed at FINRA's July 2015 Board of Governors meeting.