The Credit Risk Management, Liquidity Risk Management and Net Capital sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
information needs to be accurately and timely reported-- period. That information is lagging is a joke-- that people charge to provide this lagging information is shameful. There should be no platform one has over another. That there is-- is evidence money buys influence -- this is a country of laws.. unless it is in the financial world. The markets are a free for all for those that control,
I am a new retail investor but I have found quickly a strong sentiment of unfair trading practices and market manipulation by hedge funds that leaves retail traders at significant disadvantages. I appreciate the efforts on behalf of FINRA and the SEC to eliminate these events of malpractice by enforcing the rules that are currently in place, as well as, providing the public with more accurate and
1) The current fines for illegal behavior is an absolute joke. If a HF gains $500 mil illegally and is only fined $250,000 that’s a joke of a fine. The fine should be equal to the amount that was illegally gained and possibly include jail time. Currently, its equivalent to a person robbing a bank for $100 mil and only getting a $5,000 fine and keeping the rest. Absurd! 2) Self reporting is an
The Anti-Money Laundering, Fraud and Sanctions topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
INFORMATIONAL
Bond Mutual Fund Volatility Ratings
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
RE: Comment on FINRA Regulatory Notice 25-05: Outside Activities RequirementsTo Whom It May Concern:We appreciate the opportunity to comment on FINRA Regulatory Notice 25-05, which proposes a new rule to streamline and reduce unnecessary burdens regarding existing requirements addressing the outside activities of member firms' associated persons. As a FINRA member firm with registered
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Publication Date: March 24, 2025Interpretations are marked in blue background beneath the rule text to which they relate.17a-4 Records to be preserved by certain exchange members, brokers and dealers.This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a national
Member firms should be aware of an ongoing phishing campaign involving fraudulent emails targeting executives and purporting to be from FINRA employees, with the goal of harvesting credentials. As indicated by the full, expanded email address hidden under a masked email display name, these emails are not from FINRA, and firms should delete them and consider blocking the fraudulent domains.
