Frequently Asked Questions (FAQs) about the logistical aspects of the Remote Inspections Pilot Program, including the opt-in process.
Summary
FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday
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FINRA may grant waivers, in exceptional cases, or exemptions for
GUIDANCE
OATS Reporting Requirements
Effective Date: May 8, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
OATS
Rules 69506957
Executive Summary
On September 28, 2005, the Securities and Exchange Commission
(SEC) approved amendments to Rules 6950 through 6957
Summary
Several firms have recently informed FINRA that malicious actors are using registered representatives’ names and other information to establish websites (“imposter websites”) that appear to be the representatives’ personal sites and are also calling and directing potential customers to use these imposter websites. Imposters may be using these sites to collect personal information from
GUIDANCE
Issues Relating to the SEC's Adoption
of Regulation SHO
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Order Audit Trail System (OATS)
Order Marking
SEC Regulation SHO
Short Sales
Executive Summary
NASD, in conjunction with The Nasdaq Stock
GUIDANCE
Supervisory Controls
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Institutional Securities Activities
Rule 3012
(Supervisory Control System)
Rule 3010 (Supervision)
Supervisory Control Procedures
Written Supervisory Procedures
Executive Summary
On September 30, 2004, the
1. How do I register for the Financial Professional Gateway (FinPro)?
Use the following steps to register:
In the securities world today, there is little daylight between money laundering and fraud. On this episode, we learn how FINRA’s Special Investigations Unit works to detect and investigate cases of illicit finance and market abuse, as well as how they proactively identify and mitigate threats.
Many financial scams involve unregistered or unlicensed individuals, or the sale of unregistered investments. That's why it’s particularly important to ask questions about investments and investment professionals and do your own research to confirm their answers.
