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).
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend paragraph (a)(3) of FINRA Rule 4512 (Customer Account Information) to permit the use of electronic signatures and to clarify the scope of the rule.
#block-sharethis-sharethis-block
{
display:none
}
.videoWrapper {
position: relative;
padding-bottom: 56.25%; /* 16:9 */
padding-top: 25px;
height: 0;
}
.videoWrapper iframe {
position: absolute;
top: 0;
left: 0;
width: 100%;
height: 100%;
}
Our third Small Firm Report took place on Tuesday, November 27. FINRA Chief Executive Officer Robert Cook, was joined by Senior Vice President
Atlanta, GA
July 12, 2018
Agenda
8:00 a.m. – 8:30 a.m.
Registration
Continental Breakfast
8:30 a.m. – 8:45 a.m.
Introduction
Welcome Remarks
9:15 a.m. – 11:00 a.m.
Session 1 – Supervision
Discuss highlights of the consolidated supervision rules
Discuss FINRA Rule 3110, including
The information provided in this job aid is intended to serve as a reference for firms to determine the annual renewal fees charged per registered individual as listed on the Renewals – Firm Renewal Report and Download.1
When requesting the Renewals – Firm Renewal Report and Download, select the ‘Yes’ option in answer to ‘Generate Zipped CSV file?’ parameter.
Open the Excel file provided in the
We publish The Neutral Corner
to provide arbitrators and
mediators with current updates
on important rules and
procedures within securities
dispute resolution. FINRA’s
dedicated neutrals serve parties
and other participants in the
FINRA forum by taking advantage
of this valuable learning tool.
On October 16, 2018, FINRA announced the Small Firm Advisory Committee (SFAC) election for North and West Regions. Eligible small firms in the North and West Regions were mailed a copy of the Notice and a ballot to vote in this election. Ballots must be returned no later than November 15, 2018, and the newly elected SFAC member will take office in January 2019.
Candidates
Firms may vote for one
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
FINRA experienced an issue this morning with the processing of Weekly OTC Transparency Data, thereby causing a publication delay for the week of January 21, 2019 (Tier 1). The issue has now been resolved and all files and data have been published.
If you have any questions, please contact [email protected].
