FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Changes in individual stock prices can be due to a specific company or industry event. But major changes in leading U.S. indexes can indicate a wider shift in investor sentiment, which might be driven by broader trends in the domestic or global economy. These changes that can be revealed by economic indicators reported on a periodic basis.
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
Wednesday, November 9
12:00 p.m. – 5:30 p.m.
Registration
2:00 p.m. – 2:05 p.m.
Welcome Remarks
2:05 p.m. – 2:45 p.m.
Fireside Chat With FINRA President and CEO
On October 24, 2022, the Election Notice and ballots to elect Regional Committee members in contested elections were mailed to executive representatives of FINRA member firms in Districts 4, 8 and 9 (these Districts were the only contested elections). Ballots must be returned no later than November 23, 2022. Newly elected committee members will take office in January 2023. Ballots were not mailed
(a) Definitions. For purposes of these Rules, the following definitions shall apply:
(1) The terms "automated quotation," "National Market System Plan" (NMS Plan), "intermarket sweep order," "manual quotation," "NMS stock," "protected quotation," and "trading center" shall have the meanings set forth in Rule 600(b) of SEC
Micro-investing involves regularly investing small amounts of money to build up a stake while participating in financial markets. If you can’t dedicate much money toward investments, it might take years to reach a mutual fund’s minimum investment. Micro-investing allows you to invest with less money upfront, often automatically.
The SEC, NASAA and FINRA are jointly issuing this Investor Alert to make investors aware of the increase of investment frauds involving the purported use of artificial intelligence (AI) and other emerging technologies. Bad actors are using the growing popularity and complexity of AI to lure victims into scams. Here are a few things to look out for to help you keep your money safe from these frauds.
The 2022 Report on FINRA’s Examination and Risk Monitoring Program (the Report) provides firms with information that may help inform their compliance programs. For each topical area covered, the Report identifies the relevant rule(s), highlights key considerations for member firms’ compliance programs, summarizes noteworthy findings from recent examinations, outlines effective practices that FINRA observed during its oversight, and provides additional resources that may be helpful to member firms in reviewing their supervisory procedures and controls and fulfilling their compliance obligations.
Wednesday, March 30
All times are listed in Eastern Time
8:30 a.m. – 5:00 p.m. Registration and Cloud Computing & Cybersecurity Solutions Exhibitors
8:30 a.m. – 10:00 a.m. &
On October 24, 2022, FINRA announced the Small Firm Advisory Committee (SFAC) election for the New York Region. Eligible small firms in the New York Region were mailed a copy of the Election Notice and a ballot to vote in this election. Ballots must be returned no later than November 23, 2022, and the newly elected SFAC member will take office in January 2023.
Candidates
To review the
