For detailed information regarding amendments to FINRA Rule 4530, please see Regulatory Notice 13-08.1. How can a firm affirmatively state that a Form U4 amendment is to also be applied to satisfy a Rule 4530(a)(1) reporting requirement?Effective March 4, 2013, when a firm files a Form U4 amendment involving a criminal matter, regulatory action, civil judicial or customer complaint/arbitration/
FINRA's CRD Simultaneous Form Filing Program allows a "simultaneous filing group" or "SFG" (i.e., two or more FINRA member firms under substantially the same common ownership or control) to submit a single Form U4 (and single fingerprint card) or Form U5 to register or terminate an individual, respectively, with that SFG for a single processing fee. To obtain the benefits
About FINRAFINRA is a not-for-profit organization authorized by Congress that is dedicated to protecting investors and ensuring market integrity. It regulates one critical part of the securities industry—member brokerage firms doing business in the U.S.FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-
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Publication Date: March 31, 2025Interpretations are marked in blue background beneath the rule text to which they relate.17a-5 Reports to be made by certain brokers and dealers.This section applies to the following types of entities: Except as provided in this introductory text, a broker or dealer, including an OTC derivatives dealer as that term is defined in § 240.3b-12 registered
On This PageFAQ Applicable to FINRA's Fingerprint ProcessFAQ Applicable to All FirmsFAQ Applicable to Broker-Dealers FirmsFAQ Applicable to Funding PortalsFAQ Applicable to Investment AdvisersFAQ Applicable to FINRA’s Fingerprint ProcessQ1: Which firm personnel are required to be fingerprinted?A1: Pursuant to Section 17(f)(2) of the Securities Exchange Act of 1934, (15 USC 78q(f)(2)),&
This reference guide covers a range of private placement topics, from the basic question of "What is a private offering?" to more technical discussions on broker-dealer compliance with FINRA's private placement rules.
Beginning Thursday, September 1, 2022, certain depository institutions (Covered Depository Institutions) will be required to report transactions in U.S. Treasury securities, agency debt securities and agency mortgage-backed securities (Covered Securities) to FINRA’s Trade Reporting and Compliance Engine (TRACE).
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
Request for TRACE Reporting Exemption Under FINRA Rule 6732
Reserved MPIDBank NameTreasury (TS)Agency Debt (CA) & Agency MBS (SP)BACPBank of America, N.A. (Private Bank)xxBACTBank of America, N.A. (Corporate Treasury)xxBAGMBank of America, N.A.xxBMCHBank of Montreal, Chicago BranchxxBNYBBank of New York MellonxxBNSABank of Nova Scotiax BOKCBOKF, NAxxCASACredit Agricole CIBx CBKCCommerce Bankx CBNYCitibank, N.A.xxDBNYDBNY
