Effective Date: October 26, 2016The Financial Industry Regulatory Authority, Inc. ("FINRA") provides FINRA widgets (the "Widget(s)"), and the data and information available therein through any underlying databases (the "Content"), as available on or through the FINRA Website (the "FINRA Website"). This FINRA Widget terms of use ("Terms of Use")
Reviewing and managing your investment account information is essential to ensure your funds were invested in line with your instructions and there were no unauthorized transactions. By organizing your investment records, you'll have information on hand when you need it, including when you file tax returns or if there are problems with your account.
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting the SEC’s recent amendments to Regulation S-P.[1] On May 15, 2024, the SEC announced the adoption of amendments designed to modernize and enhance the protection of consumer financial information by broadening the scope of information covered by Regulation S-P’s requirements and requiring covered institutions to (1) adopt an incident response program and (2) notify affected individuals whose sensitive customer information was, or is reasonably likely to have been, accessed or used without authorization.
The mission of Regulatory Economics and Market Analysis (REMA) is to elevate FINRA’s ability to make sound regulatory and policy decisions and foster innovation in regulation through best-in-class research and analysis.
Board Appoints Lisa Fairfax as New Public Governor, Approves 2022 Annual Financial Report and Adds New Members to Advisory Committees
WASHINGTON—FINRA's Board of Governors met on May 17-18 for the second time in 2023. During the meeting, the Board appointed a new public governor, approved FINRA’s 2022 Annual Financial Report and added new members to Advisory Committees.
The Board appointed
During its March 6 and 7 meeting, the FINRA Board of Governors approved a rule proposal to lower the age at which parties qualify for accelerated arbitration processing and approved the allocation of prior-year fine monies.
All applications shall be considered by a Hearing Officer (as defined in Rule 9120(r)) appointed by the Chief Hearing Officer (as defined in Rule 9120(b)). Unless otherwise specified in FINRA rules, the applicant shall be entitled to be heard in person or telephonically and by counsel and to submit any relevant matter. In any such proceeding a record shall be kept.
Amended by SR-FINRA-
For the period of 5/1/2025 through 5/31/2025AASPIDA FINANCIALASPIDA FINANCIAL DISTRIBUTORS, LLC2327 ENGLERT DR., DURHAM, NC 27713MAILING ADDRESS: ENGLERT DR, 2327, DURHAM, NC 27713ADMITTEDBBCS GLOBAL MARKEBCS GLOBAL MARKETSNAME CHANGED TO: THE ULTIMA GLOBAL MARKETS (USA), INC.BCS GLOBAL MARKETHE ULTIMA GLOBAL MARKETS (USA), INC.NEW NAME OF: BCS GLOBAL MARKETSBSG SECURITIES,BSG SECURITIES, LLC1000
(a) Basis for Issuance of a Temporary Cease and Desist Order in a TCDO ProceedingThe Hearing Panel shall issue a written decision stating whether a temporary cease and desist order shall be imposed. The Hearing Panel shall issue the decision not later than ten days after receipt of the hearing transcript, unless otherwise extended by the Chief Hearing Officer or Deputy Chief Hearing Officer for
No member organization may, without the prior written approval of the Exchange, form or acquire a subsidiary company. The member organization shall require such subsidiary to comply with the following provisions.
Supplementary Material: --------------
Information Regarding Subsidiary Companies of Member Organizations
.10 Definition of subsidiary
For purposes of this rule, the term "
