A member who in the capacity of paying agent, transfer agent, trustee, or in any other similar capacity, has received information as to the ownership of securities, shall under no circumstances make use of such information for the purpose of soliciting purchases, sales or exchanges except at the request and on behalf of the issuer.
Cross Reference–Rule 2150. Improper Use of Customers'
No member or person associated with a member shall file with FINRA information with respect to membership or registration which is incomplete or inaccurate so as to be misleading, or which could in any way tend to mislead, or fail to correct such filing after notice thereof.
Amended by SR-FINRA-2009-009 eff. Aug. 17, 2009.Selected Notice: 09-33.
To support their investor protection missions, FINRA and state securities regulators jointly collect and publicly disclose extensive registration information about financial professionals associated with broker-dealer firms (referred to herein as FINRA-registered financial professionals or RFPs). This registration information, which includes information about customer complaints, is used by regulators to license and oversee RFPs. The information publicly disclosed about RFPs is far more comprehensive than what is published for most other types of professionals.
All capital acquisition brokers are subject to FINRA Rule 4517.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
All capital acquisition brokers are subject to FINRA Rule 1122.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
Join this webinar for an overview of the Customer Information Request that was sent to some member firms through FINRA Gateway on August 12, 2024. FINRA staff will discuss the objective of the request, how the data will be used and who to contact with questions.
CRCP Designation Usage and Certification MarksPlease refer to the guidelines for using the CRCP® designation and certification marks.CRCP Continuing Education RequirementCRCP graduates are required to complete 12 hours of continuing education (CE) every three years as of their certificate anniversary award date. You can choose your CRCP CE credits from these FINRA-developed conferences
While many of the most common scams—such as relationship scams and government impersonator scams—are carried out by unlicensed individuals and might not directly involve accounts held at investment firms, the losses can impact the overall wellbeing of customers, as well as the value of customer accounts.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Syndicate
Systems
Technology
Trading
Executive Summary
As the year 2000 approaches, organizations throughout the world are facing the formidable challenge of ensuring that their own computer systems, and other computer systems they depend upon, will continue to operate successfully
Most transfers of customer accounts from one brokerage firm (the "carrying firm") to another (the "receiving firm") occur through the Automated Customer Account Transfer Service (ACATS), an electronic transfer system developed by the National Securities Clearing Corporation (NSCC) to automate and standardize the transfer of accounts. When it is not possible to use ACATS,
