This page provides general guidance regarding municipal advisor regulation. Please refer to the SEC Office of Municipal Securities web page and the Municipal Securities Rulemaking Board website for complete information.The SEC's final municipal advisor registration and recordkeeping Rules 15Ba1-1 through 15Ba1-8 and 15Bc4-1 were effective July 1, 2014. Firms that are engaged, or plan to
FINRA is conducting a review of firm practices related to the acquisition of customers through social media channels and how firms manage their obligations related to information collected from those customers and other individuals that may provide data to firms. Please note that each item requested is specific to the subsection header.
FINRA uses a combination of tools to reduce the risk of harm to investors by member firms and brokers they may hire that have a history of misconduct.
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Committee on Banking, Housing, and Urban Affairs United States Senate
The FINRA Certified Regulatory and Compliance Professional (CRCP)® Small Firm Scholarship Program was developed to facilitate participation from small firms—those with 150 or fewer registered representatives. The CRCP® Small Firm Scholarship is awarded to five industry professionals from small firms.To be eligible for the CRCP Small Firm Scholarship, applicants
