In this second episode of a three-part series covering FINRA's crypto asset-related regulatory work, we hear from FINRA's Crypto Asset Investigations Team. This dedicated group of investigators specialize in conducting complex crypto asset investigations and share more about the crucial role it plays in ensuring compliance with existing rules and regulations in the crypto asset space.
On This PageEligibility CriteriaResponsibilitiesFirm or Identity Provider (IdP)FINRA or Service ProviderIntegration RequirementsCertificate HandlingSupported ProtocolIdP Entity IdEmail DomainAuthentication FlowSAML2 Details SP MetadataNameId FormatBindingsAttributesSP Message Algorithms:GlossaryEligibility CriteriaYou must be a firm or other type of organization approved by FINRA for SSO
FINRA publishes the short interest reports it collects from broker-dealers for all exchange-listed and over-the-counter (OTC) equity securities. Learn more about equities and OTC equities trading.FINRA Rule 4560 requires FINRA member firms to report their short positions in all OTC equity securities to FINRA. OTC equity / other OTC short interest is available for view by issue, or by
As we observe National Consumer Protection Week amid a changing financial fraud landscape, the time is ripe to talk about the ways in which investors can protect themselves from scams. On this episode, a member of the FINRA Investor Education Foundation team joins us to talk about how we can all become more informed and vigilant in today's complex financial world.
SummaryIn February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s
WASHINGTON—FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from across FINRA’s Member Supervision, Market Regulation and Enforcement programs that member firms can use throughout the year to strengthen their compliance programs. The report reflects FINRA’s commitment to providing transparency to member firms and the investing public about its regulatory observations and activities.
WASHINGTON—FINRA has fined Apex Clearing Corporation $3.2 million for violations related to its fully paid securities lending program. This is the first time FINRA has charged a firm with violating FINRA Rule 4330, which establishes permissible use of customers’ securities to ensure customer protection.
WASHINGTON—FINRA’s Board of Governors met on February 25-26. The agenda included electing a new Board Chair, as well as discussions on FINRA’s proposed Outside Business Activities rule, TRACE reporting timeframes, ongoing technology initiatives, and the proposed allocation of FINRA’s 2024 fine monies.
The FINRA Board of Governors held its first meeting of the year last week, and I am pleased to share some updates from our discussions, including the election of a new Board Chair. Eric Noll is stepping down as Chair to pursue an opportunity that would conflict with his role as a Public Governor. To succeed him, the Board elected Scott A. Curtis, who has served as a Governor and Large Firm Representative since 2023.
B. Howell Griswold, Jr.Alex, Brown & Sons, Baltimore, MD1939Francis A. BonnerBlair, Bonner & Company, Chicago, IL1940Robert W. BairdThe Wisconsin Company, Milwaukee, WI1941H. H. DewarDewar, Robertson & Pancoast, San Antonio, TX1942Henry G. Riter, 3rdRiter & Co., New York, NY1943Ralph ChapmanFarwell, Chapman & Co., Chicago, IL1944Ralph E. PhillipsDean Witter
