The Technology Management topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Seniors make up an increasingly large share of the American population1 and hold higher levels of wealth than other generations. These factors, among others, make seniors an attractive target for financial exploitation, with evidence suggesting that such exploitation has been increasing in terms of both scope and magnitude.
As FINRA’s Ombuds, Sarah Gill serves as an independent, neutral and confidential resource for investors, brokerage firms, individual brokers, FINRA staff and other stakeholders who have questions or concerns regarding activities of FINRA and its employees. She advocates for fair processes and the fair administration of FINRA’s processes.
Ms. Gill previously led FINRA’s State
SEC Approves New Interpretive Material That Authorizes FINRA to Establish a Temporary Program to Allow Firms to Voluntarily Remit Accumulated Funds; Reminder Concerning Proper Disclosure of the Section 3 Fee
FINRA Announces Elimination of OTC Bulletin Board Historical Research Reports; Fees for ORF Trade Reporting and Data
The FINRA requirement to maintain at least half our work time in office, rather than working 100% remotely. It seems clear that we were able to function via a fully remote work environment during the COVID19 pandemic lockdown and the mandatory work in office is unnecessary. Moreover, the requirement to work in office increasingly feels antiquated and deleterious to many brokers' mental
A member which does not maintain an office in the United States responsible for preparing and maintaining financial and other reports required to be filed with the SEC and FINRA must:
(a) prepare all such reports, and maintain a general ledger chart of account and any description thereof, in English and U.S. dollars;
(b) reimburse FINRA for any expenses incurred in connection with
REQUEST FOR COMMENTBranch Office RegistrationComment Period Expired September 3, 2004SUGGESTED ROUTINGKEY TOPICSLegal and ComplianceRegistered Representatives RegistrationSenior ManagementBranch Office RegistrationCentral Registration Depository (CRD?)Executive SummaryNASD requests comment on a proposed uniform branch office registration form (Form BR) that will enable firms to register
B&D CAPITAL PARTNERS, LLC211 EAST BLVD., CHARLOTTE, NC 28203-4719B. C. ZIEGLER AND COMPANYONE NORTH WACKER DRIVE, SUITE 2000, CHICAGO, IL 60606B. RILEY SECURITIES, INC.11100 SANTA MONICA BLVD, SUITE 800, LOS ANGELES, CA 90025B. RILEY WEALTH MANAGEMENT40 SOUTH MAIN, SUITE 1600, MEMPHIS, TN 38103B.B. GRAHAM & COMPANY, INC.1700 W. KATELLA AVE., ORANGE, CA 92867BA SECURITIES, LLCFOUR
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) By-Laws were recently amended to require members' Executive Representatives to maintain electronic mail accounts for the purpose of updating firm contact information
