SummaryFINRA has adopted amendments to conform its rules to the Securities and Exchange Commission’s (SEC) amendments to Rule 15c6-1 and adoption of Rule 15c6-2 under the Securities Exchange Act of 1934 to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (T+2) to one business day after the trade date (T+1). The amendments revise
TO: All NASD Members and Other Interested Persons
ATTN: Direct Participation Programs Department
The NASD's Direct Participation Programs and Real Estate Committees have reviewed certain information received from members and their affiliates through the review process carried out by the NASD Corporate Financing Department. The Committees reviewed the costs associated with issuing and
Summary
The annual meeting of FINRA firms will take place on or about Wednesday, September 6, 2023, to elect one Large 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 Monday, August 7, 2023.
The purpose of this
During your first week at a new job, you typically focus on the basics – locating your office, setting up your computer and getting acquainted with new colleagues and acronyms. If you're Greg Ruppert, who joined FINRA on March 23, 2020 as the new Executive Vice President, National Fraud and Financial Crimes Detection Programs (NCFC), you mark your first week by establishing FINRA's
FINRA has been on a hiring spree, working to fill scores of open positions. But given that almost all employees are working remotely as a result of the coronavirus outbreak, how are these new hires getting the equipment to start work from home?The solution: “FINRA in a Box.”That’s what staff call the package FINRA sends to new hires, containing a laptop, onboarding instructions, introductory
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Executive Summary
On March 14, 1994, the Securities and Exchange Commission (SEC) approved an amendment to Section 4 of the OTC Bulletin Board (OTCBB®) rules that requires OTCBB market makers to indicate, by a fifth-character geographic indicator appended to their market-maker identifier (MMID), that the firm's trading desk for a
FINRA publishes this quarterly review to provide firms with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases). These summaries call attention to, and remind registered representatives and firms of, specific conduct that violates FINRA rules and may result in disciplinary action.
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Mr. Seek joined FINRA in September 2020. He has been a trusted advisor to his business partners, clients and peers for more than 19 years. Over his career he has enjoyed working with his business partners to provide candid, practical advice on internal controls and process design. He actively networks with peers and shares information and stories on best practices, emerging trends, and
Sec. 3. (a) The Corporation after 15 days notice in writing, may suspend or cancel the membership of any member or the registration of any person in arrears in the payment of any fees, dues, assessments, or other charges or for failure to furnish any information or reports requested pursuant to Section 2 .
(b) The Corporation after 15 days notice in writing, may suspend or cancel the
