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Senior ManagementLegal & ComplianceOperationsRegistrationOther
EXECUTIVE SUMMARY
In response to member inquiries, the NASD is publishing guidelines that apply to the employment of unregistered persons to contact prospective customers. Unregistered persons may extend invitations to firm-sponsored events and inquire whether the prospective customer wishes to discuss
Mid-Year Rate Adjustment for Fees Paid Under Section 31 of the Exchange Act
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
FINRA Reminds Firms of Their Obligations Under the
Foreign Corrupt Practices Act
The National Adjudicatory Council (NAC), has developed the FINRA Sanction Guidelines for use by the various bodies adjudicating disciplinary decisions, including Hearing Panels in FINRA’s Office of Hearing Officers and the NAC itself (collectively, the Adjudicators), in determining appropriate remedial sanctions. FINRA publishes these Sanction Guidelines so that members, associated persons and
Sec. 5.8 Any or all of the members of the National Adjudicatory Council may be removed from office at any time for refusal, failure, neglect, or inability to discharge the duties of such office, or for any cause affecting the best interests of the National Adjudicatory Council the sufficiency of which the FINRA Board shall be the sole judge, by majority vote of the FINRA Board
The Market Access Rule section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
(a) Form, Content, Notice, Docketing, and Service(1) If a complaint is authorized, the Department of Enforcement shall issue the complaint. Each complaint shall be in writing and signed by the Department of Enforcement. The complaint shall specify in reasonable detail the conduct alleged to constitute the violative activity and the rule, regulation, or statutory provision the Respondent is
2016 FINRA Annual Financial Report
2015 FINRA Year in Review and Annual Financial Report
2014 FINRA Year in Review and Annual Financial Report
2013 FINRA Year in Review and Annual Financial Report
2012 FINRA Year in Review and Annual Financial Report
2011 FINRA Year in Review and Annual Financial Report
2010 FINRA Year in Review
