The safe harbor for business expansions in IM-1011-1 is not available to any member that is seeking to add one or more Associated Persons involved in sales and one or more of those Associated Persons has a Covered Pending Arbitration Claim (as defined in Rule 1011(c)(1)), an unpaid arbitration award or unpaid settlement related to an arbitration; in such circumstances, if the member is not
FINRA's premier event — This year we are bringing the conference to you. The 2021 FINRA Annual Conference will be held entirely online. This virtual conference provides the opportunity for practitioners, peers and regulators to exchange ideas on timely compliance and regulatory topics.
Summary
FINRA amended its Membership Application Program (MAP) rules to create further incentives for the timely payment of arbitration awards by preventing an individual from switching firms, or a firm from using asset transfers or similar transactions, to avoid payment of arbitration awards. The amendments will address situations where: (1) a FINRA member firm hires individuals with pending
FINRA invites member firms that participate, or plan to participate, in the security-based swap (SBS) market to provide views and information with regard to broker-dealer SBS activities, including the application of FINRA rules to those activities. Any other interested party is also invited to submit views and information. FINRA welcomes views and information on all aspects of SBS activity,
In observance of Memorial Day, the TRACE system will be closed on Monday, May 25, 2020. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
In observance of Memorial Day, the FINRA Alternative Display Facility (ADF) will be closed on Monday, May 25, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
In observance of Memorial Day, the Over-the-Counter Reporting Facility (ORF) will be closed on Monday, May 25, 2020. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
In observance of Memorial Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Monday, May 25, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
Summary
Exchange-traded products (ETPs) provide different types of exposure to the oil market through several product structures, which some investors or investment professionals might not understand.1 Moreover, the performance of such products may be linked to unfamiliar indices or reference benchmarks, making them difficult for the average investor to comprehend. In particular, a
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
