Trading on securities exchanges and alternative trading systems (ATSs) has evolved to the point that these venues now execute electronically the vast majority of their volume. This increased automation of trading and the popularity of sponsored or direct access arrangements where broker-dealers allow customers to trade in those markets using the broker-dealers' market participant identifiers
Crypto assets—also known as digital assets—are assets that are issued or transferred using distributed ledger or blockchain technology. They include, but are not limited to, so-called “virtual currencies,” “coins,” and “tokens.” A particular crypto asset may or may not meet definition of a “security” under the federal securities laws. FINRA rules that relate to securities, or that do not depend on securities status, may impose obligations on the crypto asset-related activities of member firms and associated persons.
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
You might know if the stock market is going up or down, but do you know what sectors are driving returns? The use of sectors is one of the most common ways to characterize markets, and the most used system is the Global Industry Classification System (GICS).
Summary
FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill as well as view the reports that are currently available in CRD/IARD for the annual registration renewal process. The payment deadline is January 22, 2021.
Please direct questions concerning this Notice to the FINRA Call Center at (301) 869-6699.
Background & Discussion
2025 FINRA Annual Regulatory Oversight ReportThe Consolidated Audit Trail (CAT) topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.SEC Rule 613 requires FINRA
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to temporarily amend FINRA Rules 1015, 9261, 9524 and 9830 to grant FINRA’s Office of Hearing Officers (“OHO”) and the National Adjudicatory Council (“NAC”) authority to conduct hearings in connection with appeals of Membership Application
The Neutral Corner - Volume 1—2022
The 2021 Compliance Outreach Program for Municipal Advisors is a free webcast program designed to provide municipal advisors and other municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters. Topics of discussion include managing conflicts of interest disclosures; operational considerations for registered municipal advisors;
