<p>For purposes of Rule 2740, securities custodial, clearance and settlement services are not considered bona fide research.</p>
Third-party risk is the most clicked-on topic in FINRA's 2025 Regulatory Oversight Report. But what is third-party risk and why are people so interested in it? What can FINRA member firms do to mitigate that risk? And how can FINRA help? These questions will be answered on the latest episode of FINRA Unscripted, featuring a returning guest, FINRA's Executive Vice President of Member Supervision Greg Ruppert.
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).
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to revise and restate the qualifications for representatives in arbitrations and mediations.
FINRA Provides Limited Relief Regarding Requirement to Promptly Transmit Funds in Connection With Sales of Securities on a Subscription-Way Basis for the Purpose of Completing Suitability Reviews Under Identified Conditions
2019 Holiday Margin Extensions Schedule
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).
SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
GUIDANCE
Expungement
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Affidavits
Arbitration
Central Registration Depository System (CRD® or CRD system)
Customer Dispute Information
Dispute Resolution
Expungement
Rule 2110
Rule 2130
Executive Summary
On
GUIDANCE
Best Execution
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading and Market Making
Best Execution
Interpretive Material 2320
Rule 2320
Executive Summary
On August 21, 2006, the Securities and Exchange Commission (SEC)
approved amendments to Rule 2320(a), the Best Execution Rule,
to require that
