The Cybersecurity section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Strengthen your cybersecurity knowledge and learn how to protect sensitive information. Explore common threats, controls and best practices to mitigate cyber risks.
These documents provide a formatted version and explanatory text for firms to follow in building batch forms and retrieve reports.
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 6897(b) (CAT Cost Recovery Fees) to implement a historical Consolidated Audit Trail (“CAT”) recovery assessment designed to permit FINRA to recoup its contributions to recoverable historical costs of the National Market System Plan Governing the Consolidated Audit Trail incurred prior to January 1, 2022.
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.
¿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.
On February 1, 2007, NASD and NYSE launched new Trade Reporting Facility. Learn about the new Market Center ID "DN" requirement for reporting trades.
Go beyond stocks and bonds, and explore alternative investments for enhanced returns and diversified portfolios. Understand the risks before you dive in.
FINRA's John Brennan dispels the "rigged markets" myth, touts tech's benefits for investors and advocates transparency and simple fixes for market challenges.
