CodeExplanationCDPD*Firm provided barcode on form filing and awaiting receipt of fingerprints for processing.CLERFBI result indicating No Data was identified for fingerprints submitted.CLRXFBI result indicating No Data was identified based on Name Check search.COMPFINRA staff has completed review of CHRI identified by the FBI in response to fingerprints submitted.CMPXFINRA staff has completed
The annual IRS contribution limits are increased periodically due to inflation, but they are not increased every year. The table on this page provides an overview of the maximum annual contribution limits for the current year.
FINRA Rule 2359(a) provides that “…no member shall effect for any account in which such member has an interest, or for the account of any partner, officer, director or employee thereof, or for the account of any customer, a purchase or sale transaction in an index warrant listed on a national securities exchange if the member has reason to believe that as a result of such transaction the member,
« Previous: How to ApplyThe Membership Application Program (MAP) Group has a dedicated front-line team of analysts (the Triage Group) to conduct an initial assessment of each New Member Application, Continuing Membership Application, Materiality Consultation, Membership Agreement Change and Two Principal Waiver.During this initial assessment, the Triage Group evaluates
Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
2018 FINRA Regional Committee Election
FINRA has developed a new report to assist firms with monitoring their supervision for trading behaviors that may be designed to manipulate the market. This new Cross Market Equities Supervision: Potential Manipulation Report displays exceptions around two behaviors—layering and spoofing - concerns recently highlighted in FINRA’s 2016 Regulatory Examination Priorities Letter.
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
FINRA is conducting an assessment of firms’ approaches to managing cyber-security threats. FINRA is conducting this assessment in light of the critical role information technology (IT) plays in the securities industry, the increasing threat to firms’ IT systems from a variety of sources, and the potential harm to investors, firms, and the financial system as a whole that these threats pose.
The documents below are intended for use by those participating in Web EFT user testing and should be used solely in conjunction with the fileX QA environment. These documents are draft versions of the schemas which will be updated as part of a future CRED release. Please note that current versions of the Web EFT schema files must be used when submitting form filings in our production
