FINRA provides a template for small firms (Word format 164 KB) to assist them in fulfilling their responsibilities to establish the Anti-Money Laundering Program. The template provides language concerning, among other things, the final customer identification rule.
FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format
In late May, certain amendments to FINRA's margin rule, Rule 4210, went into effect to address a significant source of potential systemic risk and risk to FINRA member firms. The amendments introduced specific margin requirements related to covered agency transactions. On this episode, we learn more about the purpose of the change and what firms need to think about to ensure compliance.
Guidance on Social Networking Websites and Business Communications
The FINRA Securities Helpline for Seniors is a toll-free number that senior investors can call to get assistance from FINRA or raise concerns about issues with brokerage accounts and investments.
Q: Are members that provide FINRA an electronic feed (“eFeed”) of account transaction and position data via secure file transfer protocol (SFTP) for the accounts of FINRA employees also required to send duplicate account statements to FINRA under Rule 2070(a)? NEWA: No. A member that provides FINRA an eFeed of account transaction and position data at the request of the FINRA employee account
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Publication Date: August 11, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 15c3-1c Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).15c3-1c(a) Flow through capital benefits. Every broker or dealer in computing its net capital and aggregate
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Publication Date: August 11, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 15c3-1d Satisfactory Subordination Agreements (Appendix D to 17 CFR 240.15c3-1).15c3-1d(a) Introduction.15c3-1d(a)(1) This appendix sets forth minimum and non-exclusive requirements for satisfactory subordination agreements (hereinafter “subordination agreement
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-1e Deductions for market and credit risk for certain brokers or dealers (Appendix E to 17 CFR 240.15c3-1).
Sections 240.15c3-1e and 240.15c3-1g set forth a program that allows a broker or dealer to use an alternative approach to computing net capital deductions,
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-1f Optional market and credit risk requirements for OTC derivatives dealers (Appendix F to 17 CFR 240.15c3-1).
15c3-1f(a) Application Requirements
An OTC derivatives dealer may apply to the Commission for authorization to compute capital charges for market and
