What should your firm do after it discovers that customers’ accounts have been compromised?
2017 Annual FINRA Election Cycle and Procedures Overview
Rules and procedures applicable to members seeking to hire or retain a person who becomes "subject to disqualification," and for members that themselves become subject to disqualification
fileX is in the process of introducing Web Application Firewall (WAF) to the fileX APIs. Below are the key dates related to the WAF changes.
CT on 8/10
PROD on 8/12
There will be no outage or change to the fileX API functionality during or after the change.
Contact FINRA Support Center (800) 321-6273, or by email, if you have any questions.
NASD Regulation Reminds Members To Develop Year 2000 Plans
NASD Regulation, Inc., urges National Association of Securities Dealers, Inc. (NASD®) members to develop and implement an action plan to ensure and achieve Year 2000 compliance. The scope of Year 2000 plans should extend to all information technology systems (internal and external) used to conduct a securities business and other
Todos los días en FINRA protegemos a los inversores contra conductas indebidas, ponemos fin al fraude y proporcionamos indemnización a clientes perjudicados. Y lo logramos en parte porque los clientes y otros miembros del público proporcionan información y pruebas esenciales durante el curso de una investigación.
FINRA is responsible for the Central Registration Depository (CRD®) program, which supports the licensing and registration filing requirements of the U.S. securities industry and its regulators. The CRD program covers the registration records of broker-dealer firms, branch offices and their associated individuals, including their qualification, employment and disclosure histories; it also directs the processing of form filings, fingerprint submissions, collection and disbursement of registration-related fees, qualification exams and continuing education sessions. The registration filing requirements of the CRD program are being integrated into the new FINRA Gateway system.
Firms do not receive hard copy fingerprint card search results. Instead, firms receive the dispositions, including CHRI details, electronically in their "Fingerprint Status Received from FBI Queue."
2006—2007 Filing Due Dates
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates. The following schedule outlines due dates for 2006 reports that have 2007 due dates, and for 2007 reports. Questions regarding the information to be filed can be directed to
2005–2006 Filing Due Dates
NASD would like to remind members of their obligation to file
the appropriate FOCUS reports, Annual Audits, and Customer
Complaints by their due dates. The following schedule outlines
due dates for 2005. Questions regarding the information to be
filed can be directed to the appropriate District Office. Business
questions as to how to file the FOCUS report, resetting
