Have you thought about taking steps to improve your financial health? The new year is a great time to check on your investments, revisit your budget, and improve your overall financial wellness. Read on for six tips to boost your financial savvy for the year ahead.
Register for the June 3 Small Firm Conference Call on the intersection of cybersecurity, fraud and financial crimes, with resources, tools and tips for mitigating risks. Registration is open to all member firms.
CRD is typically available:Monday through Friday from 5 a.m. to 11 p.m. ETSaturday from 8 a.m. to 6 p.m. ETSunday from 10 a.m. to 6 p.m. ETScheduled exceptions to the system availability are provided below.Looking for information about unscheduled system outages and disruptions? Please visit the Systems Status page. March 2025DateStatusCommentNo outages
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
Interpretations are marked in blue background beneath the rule text to which they relate.
SummaryIn this Notice, FINRA reminds members of their obligations when selling private placements (i.e., unregistered offerings sold pursuant to the Regulation D safe harbors under Sections 3 and 4 of the Securities Act of 1933 (Securities Act)). In Regulatory Notice 10-22 (Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings), FINRA reminded members of
FINRA’s Corporate Financing Rules—Rules 5110, 2310 and 5121—generally compel firms that participate in public offerings of securities to fulfil three requirements: Firms must file documents and other information in connection with public offerings. These documents include registration statements or offering circulars and their exhibits and amendments. The documents must be submitted no
