FINRA staff will host this one-hour webinar to discuss the Remote Inspections Pilot Program data submission and documentation requirements. This session will review the upcoming deadlines and the data and information requirements and submission process.FINRA Webinar: Remote Inspections Pilot Program Data Submission and Documentation Requirements – On-Demand RecordingFINRA Member Firms
The Series 16 exam — the Supervisory Analyst Qualification Exam (SA) — assesses the competency of an entry-level principal to perform their job as a supervisory analyst.
Learn how Small Firm Advisory Committee Elections and Regional Committee Elections work at FINRA.
FINRA views the protection of senior investors, as well as baby boomers who are retired or approaching retirement, as a top priority. Because a large number of American investors are approaching retirement and control a substantial portion of investment assets, FINRA encourages firms to review and, where warranted, enhance their policies, procedures and practices, in light of the special issues common to many senior investors. For example, a firm's procedures and controls should take into consideration the age and life stage (whether pre-retired, semi-retired or retired) of their customers. Of particular concern to FINRA is the suitability of recommendations to senior investors, communications targeting older investors, and potentially abusive or unscrupulous sales practices or fraudulent activities targeting senior investors.
¿Qué significa Ombuds? Ombuds (o Ombudsman) es un término originario de Suecia y significa representativo. La International Ombuds Association (Asociación Internacional de Ombuds) describe a un ombuds como "alguien que ayuda a individuos y grupos en la resolución de conflictos o inquietudes”.
Nuestro papel es ser un partidario de procesos justo de FINRA y justa administración de esos procesos. Nosotros no tomamos lados. Nosotros no somos partidarios de ningún individuo o de FINRA.
FINRA's John Brennan dispels the "rigged markets" myth, touts tech's benefits for investors and advocates transparency and simple fixes for market challenges.
Innovation and collaboration are two of FINRA’s four core values. Michael Hawman, Director of Technology for Delivery Services, returned to FINRA after participating in AWS re:Invent in 2022 with a proposal that would align these two values for FINRA’s business and technology divisions.
Discover which firms and individuals faced disciplinary action in the month of April 2024. Stay informed on regulatory enforcement and compliance with FINRA.
FINRA provides a template for small firms (Word format 164 KB) to assist them in fulfilling their responsibilities to establish the Anti-Money Laundering Program. The template provides language concerning, among other things, the final customer identification rule.
