The Communications with the Public section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Summary
FINRA adopted a new rule to limit any associated person of a member firm who is registered with FINRA (each a “registered person”) from being named a beneficiary, executor or trustee, or to have a power of attorney or similar position of trust for or on behalf of a customer.1 New FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a
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Arbitration Statistics Through December
Historical Statistics for Cases Filed and Closed
Top 15 Controversy Types in Customer Arbitrations
Top 15 Security Types in Customer Arbitrations
Top 15 Controversy Types in Intra-Industry Arbitrations
How Arbitration Cases Close
Results of Customer Claimant Arbitration Award Cases
Result of Customer Claimant Arbitration Award
The Private Placements section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
I am well educated on the working of the stock market and it's various products, including leveraged and inverse funds. I don't need to pass a test or have the input of regulators on my investment choices. My retirement funds largely come from an annuity product at this time with minimal input of the investments. I use stocks, mutual funds and inverse funds to enhance and/or protect my
<p>NASD Rule 1020 Series - Registration of Principals</p>
(a) Definition of Principal and Principal Registration Categories(1) Definition of PrincipalA "principal" is any person associated with a member, including, but not limited to, sole proprietor, officer, partner, manager of office of supervisory jurisdiction, director or other person occupying a similar status or performing similar functions, who is actively engaged in the management of
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules 2111 (Suitability), 2310 (Direct Participation Programs), 2320 (Variable Contracts of an Insurance Company), 2341 (Investment Company Securities), and 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements), and
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others) to increase the gift limit from $100 to $250 per person per year, provide for exemptive relief, and incorporate existing guidance and interpretive letters. The proposed
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
