Release DateSystemAreaDescriptionApril 25, 2025FINRA GatewayIndividual ProfilesStatutory Disqualification (SD) status is not displayed for some Individuals. With this fix, the SD status will be displayed for all applicable Individuals.April 13, 2025FINRA Gateway and CRDAllNYSE Chicago, Inc. (NYSE-CHI) Renamed NYSE Texas, Inc. (NYSE-TEX) in FINRA’s Registration Systems. For more information about
Good morning. It’s great to have this opportunity to be with you today to talk about anti-money laundering (AML), an area of significant regulatory focus both for the industry and regulators alike.
AML isn’t just a regulatory issue; it is a national security concern. AML is essential to ensuring the continued functioning of our financial system; and every firm, no matter the size, needs to get
Mr. Chairman and Members of the Subcommittee: Thank you for inviting us to testify on financial literacy and for allowing us to submit this statement for the record. NASD is committed to expanding the knowledge and confidence of all Americans wishing to build a more secure financial future through saving and investing.
FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
Thank you very much—it's great to be here. I'd also like to thank President Rebecca Laird, and also Leslie Woolley, Chair of the Luncheon Committee, for the gracious invitation to meet with you. There is so much going on in our markets that it's hard to know what to talk about.
(a) Respondent(s) must serve each other party with the following documents within 45 days of receipt of the statement of claim:
(1) Signed and dated Submission Agreement; and
(2) An answer specifying the relevant facts and available defenses to the statement of claim.
The respondent may include any additional documents supporting the answer to the statement of claim. Parties that
(a) Respondent(s) must serve each other party with the following documents within 45 days of receipt of the statement of claim:
(1) Signed and dated Submission Agreement; and
(2) An answer specifying the relevant facts and available defenses to the statement of claim.
The respondent may include any additional documents supporting the answer to the statement of claim. Parties that fail to
This data provides market activity as of end of day for structured products, based on transactions reported to TRACE. Tables of aggregated price levels are organized by product type.This end-of-day service represents the full asset- and mortgage backed securities markets and is derived using only actual transacted prices from TRACE, the U.S. over-the-counter bond market mandated regulatory
I am Dan Sibears and I currently serve as Executive Vice President, Member Regulation Programs for the Financial Industry Regulatory Authority, or FINRA®. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 (formerly Schedule C, Part XII of the NASD® By-Laws) of the NASD Membership and Registration Rules which prescribes requirements for the Securities Industry Continuing Education Program (Program). The Program has two elements-a Regulatory Element and a Firm Element, and became effective July 1
