When a FINRA member firm plans to undergo a change in business operations it may be required to file a Form BD amendment and a Continuing Membership pursuant to FINRA Rule 1017(a)(5) depending on the nature of the change.When contemplating expansions to their business activities, firms must determine whether the proposed expansion (1) represents a material change in business
Kayte Toczylowski is Vice President of Member Relations and Education for FINRA. In leading the Member Relations and Education Department, Ms. Toczylowski’s responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms. Ms. Toczylowski also oversees FINRA’s Member Education area, which
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The FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA’s unique rules and guidelines, as well as our current corporate organization. It consists of two main components:
Our Rules
FINRA’s rules and guidelines ensure a safe and fair market. These rules are constantly changing to adapt to new developments in the industry.
December 17, 2004On November 24, 2004 NASDAQ issued a letter to ACES subscribers concerning translation issues in ACES that result in the routing and receiving firms reporting different OATS Routed Order IDs to OATS. NASDAQ's proposed short-term solution is for both routing and receiving firms to remove the spaces between the Branch and Sequence number when reporting the Routed Order ID to
Permission to Use FINRA-Copyrighted Material
SummaryFINRA, as a self-regulatory organization, is informed by and benefits from the expertise of industry and other stakeholders. As such, FINRA has multiple committees that facilitate effective engagement with member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose
Find Advertising Regulation guidance on what and when to file that is related to new member firms and existing member firms.
WASHINGTON—FINRA has ordered three firms—Edward Jones, Osaic Wealth, Inc. and Cambridge Investment Research, Inc.—to pay more than $8.2 million in restitution to customers who were harmed by the firms’ failures to provide available mutual fund sales charge waivers and fee rebates on mutual fund purchases. FINRA did not impose any fines in connection with these matters in recognition of each firm’s extraordinary cooperation with FINRA’s investigations.
Dear Sirs:
I submit these comments in opposition to this FINRA Regulatory Notice:
I oppose limitations on use of ETFs that relate to "leveraged" or "inverse" funds. These ETFs are already fully disclosed to the public, and form a crucial part of many investor's plans for investing. Each individual is different; there is no "one size fits
