Frequently Asked Questions (FAQs) about the logistical aspects of the Remote Inspections Pilot Program, including the opt-in process.
With the holiday season upon us and 2023 coming to an end, FINRA’s Cyber and Analytics Unit (CAU) would like to remind member firms to prepare for cyber threats and attacks that may occur around the holidays. Member firms and their vendors should consider reviewing and validating their Written Supervisory Procedures (WSPs), continuing to educate their employees with respect to cybersecurity and effective practices, and testing incident response plans (IRPs) to prepare for, prevent, or recover from an incident.
In observance of Juneteenth, FINRA’s Market Transparency Reporting Systems will be closed on Thursday, June 19, 2025.
INFORMATIONAL
SEC Approves Arbitrator Background Verification Process
Effective Date: October 1, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Arbitration
Executive Summary
On September 25, 2003, the Securities and Exchange Commission (SEC) approved a proposal to conduct background verification
On October 25, 2001, the SEC adopted amendments to Rules 17a-3 and 17a-4. The purpose of this Notice is to address some frequently asked questions about the SEC requirements.
GUIDANCE
Alignment of NASD Rules with Regulation NMS
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
ADF Trading Centers
Alternative Display Facility (ADF)
Regulation NMS
Trade Reporting
Executive Summary
On September 28, 2006, the Securities and Exchange Commission
(Commission or SEC) approved
In 2009, the FINRA Investor Education Foundation launched the first national study of financial capability of adults in the United States. Since its start, the National Financial Capability Study has provided data on multiple indicators of capability, including financial behaviors, attitudes, and knowledge. National Financial Capability Study survey data is collected every three years. The 2024 survey, which was published in July, represents the sixth wave of data. This episodes dives into the report that serves as an important barometer of Americans financial health, and continues to be an essential resource for policymakers, researchers, financial firms, educators, and other stakeholders seeking to better understand and address the financial capability needs of Americans.
Answers to frequently asked questions regarding FINRA Rule 3310 and AML program requirements.
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
The purpose of this Election Notice is to notify FINRA large and small member firms of contested elections for a large firm seat and a small firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots.
