I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
BACKGROUND
On April 18, 1983, the Securities and Exchange Commission issued Release No. 34-19687 announcing the adoption of changes to Rule 10b-10 under the Securities Exchange Act of 1934 (17 CFR 240 lOb-10), the "securities confirmation rule," (the "Rule"). Rule 10b-10 requires broker-dealers to send
The Variable Annuities topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Notice of Nominee to Fill FINRA Board of Governors Large Firm Seat
TO: All NASD Members and Other Interested Persons
Recent changes to certain Securities and Exchange Commission ("SEC" or "Commission") requirements for the filing of public offerings have raised interpretive questions concerning the Association's filing requirements. In 1982, the SEC adopted new forms for registering securities, Forms S-l, S-2, and S-3, as well as new
The Observations on Cybersecurity section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Hello FINRA I'm a simple and uneducated ape, I'm fairly new to the market. I have seen verified data that shows companies (such as Melvin Capital and Citadel) funding media outlets to reinforce their short positions on a nearly perfect cyclical basis, I have seen people on social media paid for directly by such companies, and even worse I have companies ravage through money that wasn
FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
SEC Approves Consolidated FINRA Rule on the Sale of Securities in a Fixed Price Offering
Dear Ms. Mitchell,I appreciate the opportunity to comment on FINRA’s proposal to streamline the requirements governing outside business activities (OBAs) and private securities transactions (PSTs), as outlined in Regulatory Notice dated April 2025.I would like to express my support for the proposed exclusions, particularly the exclusion of registered persons’ personal investments in non-
