To Whom It May Concern:
I retired just over a year ago. I had no pension at work nor any other sponsored retirement plan. I had my own investments in both IRAs and non-qualified accounts. My life has not been easy because of divorce and child custody battles, bad economies over the last 20 years, a relatively low income (mostly in the $50-$60 range) and living in high cost of living areas,
Use Of Alias Prohibited During Cold Calling
It has come to the attention of NASD Regulation, Inc., that some registered representatives may be using aliases when making cold calls. Such activity violates National Association of Securities Dealers, Inc. (NASD®) Rule 2211 and the Federal Communications Commission's telephone solicitation rules, 47 C.F.R. 64.1200(e)(iv) (1997)1, which require
There is no higher priority for FINRA than protecting senior investors from financial exploitation. Thus, every year we bring dozens of enforcement actions against brokers who harm senior investors, either through fraud schemes, conversion, churning of accounts, or otherwise. In this post, I want to highlight one pattern we have seen with increasing frequency in which certain brokers have
(a) If a person is subject to a suspension, revocation, cancellation of registration, bar from association with a member (each a "sanction") or other disqualification, a member shall not allow such person to be associated with it in any capacity that is inconsistent with the sanction imposed or disqualified status, including a clerical or ministerial capacity. A member also shall not
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Registration
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD invites comments on a proposed amendment to Schedule C to the By-Laws that would
The Funding Portals and Crowdfunding Offerings section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
As previously announced FINRA plans to replace digital certificates with Multi Factor Authentication (MFA) for access to the TRAQS website in April of 2021.
A FINRA production User Acceptance Test (UAT) will occur on Saturday, March 6, 2021. Firms must register with FINRA Market Operations of their intent to participate in the UAT via an email to
Release DateSystemAreaDescriptionApril 25, 2025FINRA GatewayIndividual ProfilesStatutory Disqualification (SD) status is not displayed for some Individuals. With this fix, the SD status will be displayed for all applicable Individuals.April 13, 2025FINRA Gateway and CRDAllNYSE Chicago, Inc. (NYSE-CHI) Renamed NYSE Texas, Inc. (NYSE-TEX) in FINRA’s Registration Systems. For more information about
Sec. 10.1 (a) FINRA Regulation shall indemnify, and hold harmless, to the fullest extent permitted by Delaware law as it presently exists or may thereafter be amended, any person (and the heirs, executors, and administrators of such person) who, by reason of the fact that he or she is or was a Director, officer, or employee of FINRA Regulation or a National Adjudicatory Council or
New Courses – April 2025AML Compliance: Account MonitoringRegulatory Concerns for New ProductsAnalyzing Investor GrowthAnnual 2025 AML Review2025 Annual Industry Priorities ReviewInvestor Trends: Exploring the Changing Investor Landscape2025 Supervisory Trends2025 Annual Compliance ReviewOn This PageOverviewBackgroundDelivery MethodsLicense Types and PricingAccess to FLEXFINRA E-Learning
