Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
This webcast focuses on what firms should expect from the Anti-Money Laundering reviews conducted as part of FINRA's routine examinations. We will review how FINRA examiners will check to make sure you have appropriate AML procedures in place, and you will learn what we expect of you and what you should expect from us during the AML part of an exam.
FINRA shares an annual snapshot of some of the data collected in the course of its work to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals.
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About the Data
Data Description
The FINRA Industry Snapshot provides a high-level overview of the industry, ranging from the number of FINRA-registered individuals to the
The Variable Annuities section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
The Variable Annuities section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
An Asset-Backed Security (ABS) offers returns based on the repayment of debt owed by a pool of consumers. ABS data is collected through TRACE (Trade Reporting And Compliance Engine) and compiled with data from multiple sources, including but not limited to Refinitiv, S&P, Moody’s, and Black Knight Technologies.
Data field
Definition
Why we share this
TO: All NASD Members and Other Interested Persons
On November 12, 1985, the Securities and Exchange Commission approved a new Article III, Section 40 of the NASD Rules of Fair Practice (SEC Release No. 34-22617). The rule establishes new requirements for the private securities transactions of persons associated with members, and entirely replaces the Private Securities Transactions
I found it very alarming to hear that FINRA is considering restricting access to leveraged ETFs. It is very concerning to hear that regulators believe private investors are incapable of understanding the risks associated with a leveraged asset like the ones that I utilize in my investment strategy. These investments undoubtably are more complex than an individual stock, but it is my belief that
The Communications with the Public topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
I should be allowed to choose the public investments that are right for me. Public investments should be available to all of the public, not just the privileged, elite. Keep the government and the "nanny state" out of my affairs! I don't need your so-called protection! I am perfectly capable of making up my own mind about my private investments and affairs. I understand the risks
