Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
The FINRA Board of Governors will consider the following rulemaking items at its December 2014 meeting. After the December 4 meeting, FINRA will notify firms via email about the Board's actions on these items and anticipated next steps, if any.
TRACE: Public Dissemination of Additional Securitized Products and Reduced Reporting Timeframe
The Board will consider proposed amendments to TRACE
Paying down your debt is one of the best ways to increase your positive cash flow and save money that you then can invest.
A resource where small broker-dealer firms can get help navigating FINRA’s systems and resources.
Call (833) 26-FINRA (833-263-4672)
Monday – Friday
8 a.m. – 6 p.m. Eastern Time
As part of our ongoing efforts to provide support for small firms, and in response to the FINRA Special Notice on Engagement and FINRA360, FINRA developed the Small Firm Helpline to assist broker-dealers that need
Rulemaking Items for Discussion at the April 2014 Meeting
Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites
