Through its Complaint Program, FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions against brokers and their firms. Sanctions may include fines, suspensions, a barring from FINRA membership or other appropriate sanctions.
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting the SEC’s recent amendments to Regulation S-P.[1] On May 15, 2024, the SEC announced the adoption of amendments designed to modernize and enhance the protection of consumer financial information by broadening the scope of information covered by Regulation S-P’s requirements and requiring covered institutions to (1) adopt an incident response program and (2) notify affected individuals whose sensitive customer information was, or is reasonably likely to have been, accessed or used without authorization.
Find attorneys and law clinics skilled in arbitration and mediation. Connect with legal experts committed to resolving financial disputes at FINRA.
The Broker Comment Process enables eligible individuals to provide an update or additional context to information that is disclosed on their Individual Report in BrokerCheck.
On this page you will find information on eligibility, the Broker Comment Request Form and instructions on how to submit a comment.
Who Can Submit a Broker Comment?
An individual who currently is not registered, but for
In observance of Juneteenth, FINRA’s Market Transparency Reporting Systems will be closed on Wednesday, June 19, 2024.
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At FINRA, our mission is to protect investors and promote market integrity. Our employees are passionate about this commitment, and it's one of the strongest ties that connect our current and former
SummaryThe annual meeting of FINRA firms will take place on or about September 11, 2024, to elect one Large Firm Governor, one Mid-Size Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about August 12, 2024.The purpose of this
FINRA is advising member firms that the Options Clearing Corporation has issued the June 2024 Options Disclosure Document (ODD). The ODD contains general disclosures on the characteristics and risks of trading standardized options. The June 2024 ODD contains new language to update (i) the list of options markets to include MEMX, LLC and (ii) settlement information to reflect T+1
FINRA is currently experiencing TRAQS issues on some display screens for all products. FINRA will update clients as more details are available.
We invite you to create an individual account to access Watchlist.CREATE ACCOUNTAlready have an individual account? Login to view your Watchlist.LOGIN Why Create a Watchlist?Create an account to access Watchlist so that you may:Get updated data on fixed income securities of interest to youRetrieve your Watchlist from any device (phone, laptop, etc)Access other FINRA
