(a) Definitions(1) For purposes of this Rule, the term "registered person" means any person registered with FINRA as a representative, principal, or assistant representative pursuant to the FINRA Rule 1200 Series or Municipal Securities Rulemaking Board (MSRB) Rule G-3.(2) For purposes of this Rule, the term "disciplined firm" means:(A) a member that, in connection
Firms could be vulnerable to a newly discovered social engineering scheme in which bad actors trick customer support personnel into downloading and executing malware. This Alert describes the scheme and provides recommendations to help firms protect themselves from the threat.
INFORMATIONALExpungementEffective Date: April 12, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementArbitrationCentral Registration Depository (CRD®)Customer Dispute InformationDispute ResolutionExpungementRule 2130Executive SummaryOn December 16, 2003, the Securities and Exchange Commission (SEC) approved new Rule 2130 concerning the
Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2011-019
NASD Regulation, Inc., has filed with the SEC a proposed rule change to require, as part of a subordination agreement, the execution of a Subordination Agreement Investor Disclosure Document ("Disclosure Document").
Proposed Rule Change Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees
FINRA
FINRA publishes a weekly newsletter (the weekly update) containing its rule proposals and notices of rule approvals with effective dates. FINRA provides an email subscription service for the newsletter as well as other communications. FINRA also maintains a catalog of social media and RSS feeds.
FINRA CAT LLC
FINRA CAT LLC provides an RSS feed of its website updates
FINRA’s Regulation Best Interest Conference, held on December 18, 2019, in Washington, DC was a one-day event designed to bring regulators, executives and industry practitioners together to learn more about Regulation Best Interest (Reg BI).
View the recorded sessions from the 2019 FINRA Regulation Best Interest Conference.
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