I am Dan Sibears and I currently serve as Executive Vice President, Member Regulation Programs for the Financial Industry Regulatory Authority, or FINRA®. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
By Greg Ruppert, Executive Vice President, Member Supervision and Jonathan Sokobin, Executive Vice President, Chief Economist and Head of the Office of Regulatory Economics and Market AnalysisFINRA proposed in 2023 to create a voluntary, three-year Remote Inspections Pilot Program to evaluate the impact and efficacy of the remote inspection of branches and offices by member firms. The idea for
Sec. 7.6 FINRA Regulation may secure the fidelity of any or all of its officers, agents, or employees by bond or otherwise.
Amended by SR-FINRA-2008-046 eff. Nov. 6, 2008.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.
Notice of Annual Meeting of FINRA Firms and Proxy
Unless otherwise provided, terms used in the Rule 1000 Series shall have the meaning as defined in Rule 0160.
(a) "Applicant"
The term "Applicant" means a person that applies for membership in FINRA under Rule 1013 or a member that files an application for approval of a change in ownership, control, or business operations under Rule 1017.
(b) "Associated Person"
The purpose of this Election Notice is to distribute to FINRA Small Firm members1 ballots to elect the five regional members of the Small Firm Advisory Board (SFAB). The SFAB provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA's Small Firm members.
Firms are urged to vote in this election. For a ballot to be considered
This Report highlights FINRA’s regulatory operations programs’ expanded focus on ongoing key areas of risk to investors and the markets:
Reg BI and Form CRS
Regulation Best Interest (Reg BI) and Form CRS remain areas of focus across FINRA’s regulatory operations programs. FINRA’s reviews of member firms’ adherence to their obligations pursuant to Reg BI and Form CRS address a number of areas,
Executive Summary
NASD is issuing this Notice to Members to remind member firms and registered financial and operations principals (FINOPs) of a FINOP's duties and responsibilities under Rule 1022 (Categories of Principal Registration). These duties are applicable to all FINOPs, regardless of whether they are employed full-time or part-time, perform such duties on-site or off-site of the
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security arising out of or reported through a trade reporting
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security arising out of or reported through a trade reporting
