1. What specific FINRA rules should be a focus for modernization based on their economic costs and benefits; changes in markets, products, services, or technology; or otherwise? What groups of FINRA requirements should be a focus? Please include FINRA rules that may be mandated or derived from a statutory or other non-FINRA regulatory requirement applicable to FINRA or its members.FINRA Rule 3210
Guidance to Members Affected by Hurricane Harvey
FINRA Provides Guidance on Prohibition Against Offering Favorable Research to Induce Investment Banking Business
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.
Background
A large number of registered representatives are also Certified Financial PlannerTM (CFP®) professionals. These professionals must complete a minimum of 30 continuing education (CE) hours every two years as part of the requirements for CFP certification renewal. Through the FINRA360 process, a number of firms expressed a desire for improved opportunities
Most transfers of customer accounts from one brokerage firm (the "carrying firm") to another (the "receiving firm") occur through the Automated Customer Account Transfer Service (ACATS), an electronic transfer system developed by the National Securities Clearing Corporation (NSCC) to automate and standardize the transfer of accounts. When it is not possible to use ACATS,
The OTC Reporting Facility (ORF) is the service provided by FINRA for the reporting of trades in OTC Equity Securities executed other than on or through an exchange and for trades in Restricted Equity Securities effected under Securities Act Rule 144A and dissemination of last sale reports.For those OTC Equity Securities and Restricted Equity Securities that are not eligible for clearance and
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Covered Agency Transactions
Regulatory Notice
Notice Type
Guidance
Suggested Routing
Compliance
Legal
Margin Department
Operations
Regulatory Reporting
Risk Management
Senior Management
Key Topics
Covered Agency Transactions
Margin
Referenced Rules & Notices
FINRA Rule 4210
Regulatory Notice 16-31
