Remarks From the LIMRA/LOMA 2015 Regulatory Compliance Exchange
The speed of change in the financial industry means that firms must work diligently to remain current—and a great way to do that is by attending events like this, sharing ideas with your peers and discussing your concerns with regulators. This is a great point in the year to reflect on what has transpired so far in 2012 from a regulatory perspective and discuss many current areas of focus for FINRA.
(a) No member that is promoting a day-trading strategy, directly or indirectly, shall open an account for or on behalf of a non-institutional customer, unless, prior to opening the account, the member has furnished to the customer the risk disclosure statement set forth in Rule 2270 and has:
(1) approved the customer's account for a day-trading strategy in accordance with the
The Achieving a Better Life Experience (ABLE) Act of 2014 provided Americans with disabilities the opportunity to save in a tax-deferred account as a supplement to their government benefits.
The Net Capital 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.
Agenda is subject to change.Wednesday, October 910:00 a.m. – 11:30 a.m.Limited Capacity Pre-event Workshop—Registration RequiredCybersecurity Incident Management WorkshopJoin us for a Cybersecurity Incident Management Workshop! As the complexity and prevalence of cyber threats grow, it is more essential than ever for CCOs and firm leaders to understand how to prepare for and respond to cyber-
Remarks from the Women in Housing and Finance Luncheon, as prepared for delivery.
Register to attend upcoming webinars which will introduce features of FINRA Gateway, the new FINRA reporting and compliance user experience—designed to streamline compliance functions to help you do your job more efficiently. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative will roll out over the coming months. Each webinar will cover a
Rule 2210 does not require member to approve, file or maintain as advertising records certain statistical information that is regularly updated on firm's web site.
<p>Proposed employee leasing arrangement does not violate Rule 2420.</p>
