SummaryThe annual meeting of FINRA firms will take place on or about September 11, 2024, to elect one Large Firm Governor, one Mid-Size Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about August 12, 2024.The purpose of this
On Thursday, March 11, from 2:00 to 4:00 pm (ET), FINRA and SEC staff are hosting a free webinar via Zoom for funding portal members and for broker-dealer members that engage in Regulation Crowdfunding offerings. In the webinar, staff from FINRA and the SEC expect to address several topics, including:
a brief overview of recent amendments to Regulation Crowdfunding;
recent findings by FINRA
TO: All NASD Members and Other Interested Persons
ATTN: All Chief Executive Officers, Compliance Officers, and Registration Managers
EXECUTIVE SUMMARY
On October 28, 1986, President Reagan signed the Government Securities Act of 1986 providing for regulation of government securities activities by brokers and dealers. This legislation created new Section 15 C under the Securities Exchange Act of
By Greg Ruppert, Executive Vice President, Member Supervision and Jonathan Sokobin, Executive Vice President, Chief Economist and Head of the Office of Regulatory Economics and Market AnalysisFINRA proposed in 2023 to create a voluntary, three-year Remote Inspections Pilot Program to evaluate the impact and efficacy of the remote inspection of branches and offices by member firms. The idea for
New Member Applications
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Senior Management
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Rule 1013
Rule 1014(a)
Standardized Application Form
Executive Summary
NASD is issuing this Notice to inform
TO: All NASD Members and Other Interested Persons
In 1981, the Association's Corporate Financing Committee undertook a study of total underwriting compensation for public offerings of corporate securities in connection with the development of a new corporate financing rule. The proposed new Corporate Financing Rule was published for comment on April 15, 1981 (Notice to Members 81-16). In
(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Emerging Growth Company" has the same meaning as in Section 3(a)(80) of the Exchange Act.
(2) "Equity security" has the same meaning as defined in Section 3(a)(11) of the Exchange Act.
(3) "Independent third-party research report" means a third-party research report
This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@filling-regfinra.com”. The domain of “filling-regfinra.com” is not connected to FINRA, and firms should delete all emails originating from this domain. Member firms should be aware that they may receive similar phishing emails from other domain
