The information on this page only applies to organizations without Super Account Administrators (SAAs). See the User Accounts Certification Process for Super Account Administrators (SAA) page for information about the certification process for broker-dealers, funding portals, investment advisers and US-based regulators.When is the 2025 User Accounts Certification Period?The 2025 User
FINRA is here to help keep investors and their investments safe. To ensure this protection, we enact rules and publish guidance for securities firms and brokers. We involve a number of interested parties in rulemaking deliberations so that broker-dealers and investors can have confidence they are collaborating on a level playing field. Our relationship to these participants, as well as the SEC, puts us in the unique position to guard the integrity of the market
If you’re not careful, holiday expenses—including non-gift items and entertainment costs—can add up quickly. Follow these four steps to set a thorough holiday budget and keep spending under control.
Summary
FINRA’s Digital Experience Transformation is changing the way that firms and their personnel access and interact with FINRA’s systems and complete their compliance and regulatory tasks. This Information Notice highlights near-term changes to the manner in which firms and their personnel access, and interact with, FINRA’s registration and continuing education applications and provides
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Senior ManagementInternal AuditLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) in Release No. 34-30929 has announced the adoption of new temporary Rules 17h-1Tand 17h-2T establishing a risk assessment recordkeeping and reporting system for broker/
SummaryAn efficient capital raising process fosters business expansion, job creation and economic growth. FINRA members play an important role in facilitating capital formation for businesses of all sizes. FINRA promotes the capital raising process through appropriately tailored rules for its members that are designed to promote transparency and to establish important standards of conduct for the
Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list. Please refer to Regulatory Notice 17-30, FINRA Rule 1220 and, regarding retired exam categories, NASD Rule 1032 for further details.
Series 6 - Investment Company Products/Variable Contracts Limited Representative
Naked shorting, synthetic share creation, and dark pool order flows for payment need to stop. The algorithms are out of control and have caused our financial systems to be nothing more than programmed manipulation by hedge funds which do not have the interest of the retail trader at heart. Shorts need to report daily and FTDs need to be fully resolved by day 13th - not just the minimum payments
Leave leveraged funds alone! They have served me well by adding significant gains to my retirement assets.
tHE LEVERAGED AND INVERSE FUNDS ETFS HAVE SERVED US WELL. dO NOT CANCEL OR CHANGE THE RULES FOR INVESTING IN THEM.
