The report is intended to raise awareness among FINRA member firms and the broader securities industry by providing an overview of how developments related to the metaverse may impact business models and processes. While the true implications of the metaverse may not be known for years, the report analyzes potential applications, use cases and challenges for member firms and notes certain regulatory considerations.
FINRA Small Firm Advisory Board Election
In response to numerous customer complaints and industry frustration about delays in the transfer of securities accounts from one brokerage firm to another, NASD established the Customer Account Transfer Task Force (Task Force) to consider ways to improve the process of inter-firm customer account transfers. This Report presents the results of the Task Force's deliberations.
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Creating a New Deal
Deal Information
Restricted Period Notification
Trading Notification
IPOs
ATMs
All other transaction types
Notice of Intent
Deal Status Notification
Submitting Notifications
Subsequent Notifications for an Existing Deal
Unable to Locate a Deal?
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Creating a New Deal
The first step in submitting notifications for an
Preliminary Note: The requirements of this Rule are in addition to other existing member obligations under FINRA rules and the federal securities laws, including obligations to determine suitability of particular securities transactions with customers and to have a reasonable basis for any recommendation made to a customer. This Rule is not intended to act or operate as a presumption or as a
Form CMA is organized by 14 standards for admission as set forth under Rule 1014(a) and specifies the documents and information required to support each standard. The items listed in this checklist are also organized by standard and focus on the standards and their related documentation and information that an applicant may inadvertently overlook when submitting the application. Firms should treat this checklist as a starting point for preparing Form CMA. Firms are advised to review the rules applicable to a CMA, including Rules 1014 and 1017, together with Form CMA. During the course of the review process, FINRA may request additional documents and information as necessary to render a decision on the application.
Membership Application Time Frames
The FINRA Entitlement Program provides a secure way to access participating Web-based systems with a shared entitlement service.
Impact: All Firms
Update (June 22, 2023): The link to the Advisory issued by CISA on June 7, 2023 has been updated to reflect CISA’s current guidance.
Firms should review this information with any vendors who provide information technology services to the firm.
As a result of an increased threat of ransomware potentially impacting FINRA member firms, the Cyber and Analytics Unit (CAU) within
There are three ways to register: online, fax, or mail.
