Activities relating to digital assets have attracted the interest of prospective and existing FINRA member firms. Digital asset securities with their related innovative technologies raise novel, complex and challenging regulatory and compliance questions, and challenges for both prospective and existing FINRA members.
We are conducting a comprehensive self-evaluation and organizational improvement initiative called FINRA360. The objective of this effort, which CEO Robert Cook launched in early 2017, is to ensure that FINRA is operating as the most effective self-regulatory organization (SRO) it can be, working to protect investors and promote market integrity in a manner that supports strong and vibrant
1 The views and opinions made in this report are those of the authors and do not represent official views or policies of FINRA. This report does not express any official FINRA legal position and does not create any new regulatory requirements or suggest any change in any existing regulatory obligations, nor does it provide relief from any existing regulatory obligations. This report summarizes
SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants
Summary
FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection in a manner that facilitates vibrant capital markets. The purpose of this Notice is to:
encourage member firms and other interested parties
Title III of the Jumpstart Our Business Startups (JOBS) Act, enacted in 2012, contains key provisions relating to securities offered or sold through crowdfunding.
This page provides information and resources for crowdfunding intermediaries that, pursuant to Title III of the JOBS Act, the SEC's Regulation Crowdfunding and FINRA's rules for funding portals, register with the SEC as
There are custom homes, custom cars and custom clothes. Now, there are even custom index funds. Non-traditional, or custom, index funds generally use more complex or targeted investing strategies than traditional index funds. Here’s what you should know before going custom.
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
Summary
A key element in any firm’s cybersecurity program is a robust authentication process, i.e., the method that confirms that an authorized user seeking access to a firm’s information technology systems is who they say they are.1 This process typically relies on one or more “factors,” such as a password or personal identification number (PIN) code, to provide the authentication. The
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules; Comment Period Expired: November 14, 2008
