Summary
Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning, including whether their business continuity plans (BCPs) are sufficiently flexible to address a wide range of possible effects in the event of a pandemic in the United States. Each member firm is also encouraged to review its BCP to consider
The Uniform Practice Code (UPC) is a series of rules, interpretations and explanations designed to make uniform, where practicable, custom, practice, usage, and trading technique in the investment banking and securities business, particularly with regards to operational and settlement issues. These can include such matters as trade terms, deliveries, payments, dividends, rights, interest,
Thank you, Elisse. Good morning, everyone - it's wonderful to see all of you here today. All of us at FINRA are committed to assisting you with your compliance efforts and these conferences are a large part of that effort. I'm thrilled you took the time to come to Scottsdale.
J K R & COMPANY, INC.7145 WOODLEY AVE, VAN NUYS, CA 91406J. ALDEN ASSOCIATES, INC.37 WEST AVE, SUITE 301, WAYNE, PA 19087Mailing Address: 37 WEST AVE, SUITE 300, WAYNE, PA 19087J. D. SEIBERT & COMPANY, INC.20 WEST 9TH STREET, CINCINNATI, OH 45202-2024J. STREICHER & CO. L.L.C.28 LIBERTY STREET 6TH FLOOR, NEW YORK, NY 10005J. WOOD CAPITAL ADVISORS LLC1820 CALISTOGA ROAD,
Stop preventing Americans investing our money in crypto. Stop this nonsense. America is the land of innovation and opportunities!
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. Rules
Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
Thank you, Paul, for that introduction, and thank you to the Exchequer Club for the invitation.
To Whomever this concerns, Please institute rules that will help investors in the American marketplace have faith that the system is not corrupt, that there is a level playing field, and that the government works for the people and not just wealthy and well-connected institutions and individuals. In this modern "information" era, the disparity in the available information to retail
FINRA has been on a hiring spree, working to fill scores of open positions. But given that almost all employees are working remotely as a result of the coronavirus outbreak, how are these new hires getting the equipment to start work from home?The solution: “FINRA in a Box.”That’s what staff call the package FINRA sends to new hires, containing a laptop, onboarding instructions, introductory
