FINRA’s Membership Application Program Group (MAP) serves as the entry point to the securities industry by ensuring that prospective and current FINRA members meet FINRA’s Standards for Admission (Standards). Prospective FINRA members must seek approval for membership through the submission of a New Member Application (NMA). Existing FINRA members must file a continuing membership
FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by member firm participants to provide an overview of the recently held Clearing and Introducing Firm Forum—the Forum that brought together member firms to discuss clearing and introducing-related challenges and potential solutions. Hear the topics that were covered and key
The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB) and FINRA announced today that registration is now open for both in-person and virtual attendance of their Compliance Outreach Program for municipal market professionals. The event is open to the public and will take place on Wednesday, Nov. 20, and Thursday, Nov. 21, 2024, in Denver, Colorado.
A crowdfunding intermediary must register with the Securities and Exchange Commission (SEC) as a broker or as a funding portal and become a member of a national securities association (FINRA). The following crowdfunding intermediaries are registered with the SEC as funding portals and are funding portal members of FINRA.Learn more about funding portals.For broker-dealer firms, view the Broker
Remarks from the Bond Dealers Association Annual Conference
Questions and answers regarding the Mutual Fund Breakpoint Assessment
GUIDANCE
Cost Basis Information
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Cost Basis Information
Rule 2110
Executive Summary
It has come to NASD's attention that some members may be purposely interfering with the transfer of cost basis
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, March 18, 1996. The information relating to matters contained in this section is current as of March 5, 1996. Information received subsequent to March 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
Domestic Capital, Inc. (Buffalo, New York), Michael A. Wier (Registered
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Codes of Arbitration Procedure to add new FINRA Rules 12808 and 13808 (Accelerated Processing) to accelerate the processing of arbitration proceedings for parties who qualify based on their age or health condition.
Like any other investment, employee stock awards come with risks. What should you consider if your company grants you a stock award or you're considering a job that includes equity compensation?
