FINRA provides extensive resources to assist member firms with managing and addressing risks and threats that could pose harm to their business, compliance programs and investors, including:Highlights on the recent risks FINRA observed in our regulatory programs;Observations from recent targeted exams (sweeps) on emerging industry issues and related regulatory obligations; andOther FINRA
SEC Approves Amendments to Discovery Guide Used in Customer Arbitration Proceedings to Address Electronic Discovery, Product Cases and Affirmations
FINRA Dispute Resolution Services is providing this Resource Guide to help arbitrators conduct effective virtual arbitration hearings via the Zoom platform.
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
REQUEST FOR COMMENT
Proposed Rule to Enhance
Confirmation Disclosure in Corporate
Debt Securities Transactions
Comment Period Expires April 19
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered Representatives
Senior ManagementTechnologyTraining
ConfirmationsDebt SecuritiesOperationsTransaction Reporting
Executive Summary
NASD is requesting
Overview
FINRA launched the Helpline on April 20, 2015 to provide investors with access to specially trained FINRA staff who can assist senior and vulnerable adult investors with questions or concerns about their brokerage accounts and investments. As of December 31, 2019,5 the Helpline has received over 18,000 calls from all 50 states and several countries. Helpline callers range in age from 17
This past August, over 250 people at FINRA took two days to find data driven solutions for FINRA. With over 45 teams, there were some amazing ideas that came out of this hackathon. Below are 13 awesome ideas teams came up with.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsRegistration
Executive Summary
The 1993-94 NASD broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the renewal process through the payment of one invoice amount that will include fees for NASD personnel assessments; NASD branch-office fees; and New York Stock
