FINRA disciplinary actions for the month of May 2023. See which firms and individuals were fined, suspend or barred. Learn how to stay compliant.
Learn about FINRA monthly disciplinary actions taken against firms and individuals in May 2024. Stay updated on enforcement and compliance.
Terms and acronyms candidates may encounter in FINRA qualification exams.
FINRA provides essential information on bank products like savings accounts, CDs and money market accounts. Learn more and make informed financial decisions.
Access the official FINRA Regulation, Inc. By-Laws in printable format. Stay informed on FINRA’s governance structure and regulatory framework.
Access FINRA's By-Laws of the corporation in printable format. Essential information on membership rules, qualifications and the governance of the organization.
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, including: advising companies and private equity funds on capital raising and corporate restructuring, andacting as placement agents for sales of unregistered securities to institutional investors under limited conditions.Firms that elect to be governed under the CAB rule set are not permitted,
The Neutral Corner – Volume 3—2024Mission StatementPro Se Parties: Tips for an Effective Hearing by Khoi Dang-Vu, Associate Regional Director, FINRA Midwest Regional Office and Dontay Phillips, Former FINRA InternFINRA Dispute Resolution Services (DRS) and FINRA NewsArbitration Case Filings and TrendsProposed Rule Change to Amend FINRA Rule 12800 (Simplified Arbitration) to Clarify and Amend the
Falling victim to a scam carries more than just a financial impact. It can be an isolating experience and exact a mental and emotional toll. On this episode, we hear about the experience of two real life victims and their efforts to recover from their loss with the help of the Cybercrime Support Network.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to reduce the 15-minute TRACE reporting timeframe to one minute, with exceptions for member firms with de minimis reporting activity and for manual trades.
