StatePercentage Answering 5 or More Financial Knowledge Questions CorrectlyPercentage Answering Inflation Question CorrectlyAlabama20.17%54.30%Alaska29.51%57.15%Arizona24.39%59.65%Arkansas24.17%56.42%California31.11%58.46%Colorado33.89%62.60%Connecticut28.92%61.56%Delaware29.31%57.35%District of Columbia34.41%57.41%Florida25.68%55.95%Georgia25.51%55.92%Hawaii31.27%61.62%Idaho29.37%62.98%
Congratulations to Chairman Atkins on his confirmation. FINRA looks forward to working with Chairman Atkins, the other Commissioners and SEC staff to fulfill its vital mission of protecting investors and safeguarding market integrity. FINRA stands ready to support Chairman Atkins’ efforts to bring smart, effective and appropriately tailored regulation to benefit all market participants.
Below are all the compliance tools offered by FINRA. Questions? Contact FINRA Support Center at (301) 590-6500 or by email.Anti-Money Laundering TemplateBooks and Records Requirements Checklist for Broker DealersBreakpoints Checklist and WorksheetBreakpoints Sample Written Disclosure DocumentBrokerCheck Link Requirements in FINRA Rule 2210Business Continuity Planning TemplateCompliance
The Regional committees advise FINRA on industry trends of regulatory concern, provide input on the impact of FINRA’s regulatory programs and communicate high-level information regarding meeting discussions to their constituents. Additionally, committee members serve as panelists in FINRA disciplinary proceedings. The committees are organized into the following regions: West (Districts 1, 2 and 3); Midwest (Districts 4 and 8); South (Districts 5, 6 and 7); North (Districts 9 and 11); and New York (District 10).
The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
Effective December 1, 2014, FINRA Rule 3170, Tape Recording of Registered Persons by Certain Firms, commonly referred to as the "Taping Rule," was adopted into the Consolidated FINRA Rulebook, replacing NASD Rule 3010(b)(2). The Taping Rule provisions first became effective August 17, 1998, when the Securities and Exchange Commission approved an amendment to NASD Rule 3010 to require members to establish, enforce and maintain special written supervisory procedures, including the tape recording of conversations, when they have hired more than a specified percentage of registered persons from certain firms that have been expelled or that have had their broker/dealer registrations revoked for violations of sales practice rules ("disciplined firms").
FINRA created a quick reference guide to help firm users review and understand RSL indicators and dates in various scenarios in the FINRA Gateway Profiles application and FINRA Gateway Reports.
