Sec. 5.4 The Secretary of the Corporation shall collect from each nominee for the office of member of the National Adjudicatory Council such information as is reasonably necessary to serve as the basis for a determination of the nominee's classification as an Industry, Small Firm, Mid-Size Firm, Large Firm, Non-Industry, or Public Member, and the Secretary shall certify to the
FINRA’s Third-Party Vendor Request asks firms to submit information on all third-party providers that are essential to firms’ operations, processes or functions. The first webinar below provides an overview of the request including why FINRA is requesting this information and how your data will be used, and the second webinar reviews frequently asked questions (FAQ). These events are
As a retail investor, I think it is so important to get accurate data. With the amount of fines and rules that have been broken by brokers, we cannot allow for a self-reporting system to continue. We need massive overhauls in our system and it starts with having accurate information, especially when it comes to short interest.
Summary
FINRA has received an increasing number of reports regarding registered representatives and associated persons (representatives) forging or falsifying customer signatures, and in some cases signatures of colleagues or supervisors, through third-party digital signature platforms. Firms have, for example, identified signature issues involving a wide range of forms, including account
Proposed Rule Change Relating to Rule 4554 Reporting Requirements for Alternative Trading Systems
SummaryFINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November.
The Global Settlement followed joint investigations by the regulators into alleged conflicts of interest between investment banking and securities research at brokerage firms.
INFORMATIONAL
Alternative Trading Systems that Trade Security Futures
Effective Date: March 31, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & ComplianceOperationsRegistered RepresentativesSenior ManagementTrading
Alternative Trading Systems (ATSs)Security Futures
Executive Summary
On January 27, 2003, the Securities and Exchange Commission (SEC) approved rule
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to modify the current process relating to the expungement of
INFORMATIONAL
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTraining
Debt SecuritiesDisseminationOperationsRule 6200 SeriesTransaction Reporting
Executive Summary
On January 31, 2002, the Securities and Exchange Commission (SEC or Commission) approved
