Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2023 or the first quarter of 2024.1 FINRA reminds members that all such filings they submit to FINRA must be made electronically
INFORMATIONAL
Registration Rules
Effective Date: July 7, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Principals
Registration
Registered Representatives
Senior Management
Training
Qualification Examinations
General Securities Principal Sales Supervisor Module (Series 23)
General Securities
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 theMunicipal Securities Rulemaking Board (MSRB).
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
Imagine a new age of regulation in which compliance efforts were highly effective, and were also inexpensive. This seeming alchemy is coming to financial services in the form of new-generation “regtech.”
Individual investors should be permitted to trade leveraged and Reverse ETF. One does not need to have a large amount of capital to have intelligence and the ability to understand and use these investment vehicles. Special tests or other special requirements should not exist which would limit individual investors access to these vehicles. and, under no circumstances should access be cut at the
I am not in the investment industry, nor have I ever been. I have worked hard for my money all my life and believe it belongs to me, and I should be able to invest it as I see fit without some bureaucrat in DC telling me I'm too stupid to handle my own affairs.
If these public investments are so dangerous that they need to be reserved only to the "rich big shots" then
cryptocurrencies ARE legitimate minus El Salvador. better than transfer services ( Western Union, Money Gram, RIA each OWE me so much (cancelled-denied-refunded by services- banks.
August 28, 2002This article is being issued to remind firms of specific reporting obligations under the OATS Rules and the OATS Reporting Technical Specifications. Please take some time to review your code and operations to ensure the following obligations are being met.
Use the Rejected ROE Resubmit Flag when Repairing Rejects
Firms must set the Rejected ROE Resubmit Flag to "Y
GUIDANCEBranch Office DefinitionEffective Date: May 1, 2006SUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceOperationsRegistered RepresentativesRegistrationSenior ManagementTrainingBranch Office DefinitionBranch Office RegistrationCentral Registration Depository(CRD® or Web CRD)Form BR (Uniform Branch OfficeRegistration Form)IM-3010-1Internal InspectionsRule
