This Notice discusses the guidance and other resources available to assist members with their compliance efforts in connection with the Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI).
FINRA will consider, as a whole, the Applicant’s business plan, information and documents submitted by the Applicant under NASD rule requirements, information provided during the Membership Interview, as well as information obtained by the staff, taking into account the following standards set forth in NASD Rule 1014:
SUGGESTED ROUTING*Senior ManagementLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.EXECUTIVE SUMMARYOn April 13, 1989, significant amendments to Article III, Section 27 of the NASD Rules of Fair Practice will take effect. This notice sets forth, in question and answer format, certain guidelines for compliance with the
Muchas personas se ponen en contacto con la Oficina del Ombuds en relación con ardides de fraude. Algunos de estos ardides son denominados estafas de impostores en las que personas se hacen pasar por personal de FINRA para obtener información sobre cuentas u otros datos confidenciales.
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These calculators are designed to be informational and educational tools only, and when used alone, do not constitute investment advice.
Use FINRA’s Tools and Calculators to help you make informed financial decisions based on your own personal circumstances and financial needs.
Abby Slonecker joined FINRA in early 2021 as Chief of Staff to Greg Ruppert and Senior Vice President of Member Supervision’s Office of Strategy and Program Risk (OSPR). In her role as Chief of Staff, she executes Greg’s strategic vision toward fulfilling FINRA’s mission and advises his Senior Leadership team. As SVP of OSPR, she oversees five teams that advise and support Member Supervision’s
FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the U.S. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the U.S. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
