FINRA has 12 advisory committees that provide feedback on rule proposals, regulatory initiatives and industry issues. Approximately 100 industry members and 30 non-industry members serve on these committees. The advisory committees meet in-person or via teleconference typically between two and five times a year.
The Neutral Corner – Volume 1—2025Mission StatementElectronic Expense Reports Revisited by Makenzie Holahan, FINRA Associate Regional ManagerFINRA Dispute Resolution Services (DRS) and FINRA NewsArbitration Case Filings and TrendsFINRA Adopts Amendments to Rule 12800 (Simplified Arbitration) to Clarify and Amend the Applicability of the Document Production ListsFINRA Adopts Amendments to
Congress should not be allowed ti invest in the stock market as long as they hold office. We the people are regulated enough, stop this Socialist takeover!
Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
I oppose Rule 3290. It is serious over reach into both the professional and personal lives of Financial Advisors. As I read elsewhere, this is akin to not allowing Real Estate Agents and there families from owning a home. Do not pass this rule!
Alert to Member Firms About the Federal Trade Commission’s FACT Act Regulations and the Announcement of the FTC’s Decision to Delay Enforcement of the Red Flags Rule until May 1, 2009
Effective March 15, 1999
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Date
Feature
Description
December 15, 2022
Requests and Filings
Filters:
Re-design in the layout
Moved all the Frequently used filters to the top such as Date filter, Overdue and Status filter
Mapped the Type filters under their associated “parent” Category filters
Enabled the multi-select capability under each
The Market Access Rule topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
I should be able to invest my money in any legal public instrument. Perhaps, you should disqualify all elected and appointed government officers.
