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.
My comments submissions are: 1. The purpose of this change is to improve transparency within the market to counter fraudulently or bad actors having the ability to circumvent reporting mechanisms for their own gain, and often the loss that retail investors suffer as a result when operating within the market. This premise should underpin how all comments are reviewed and revisions incorporated. 2
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to make changes to certain provisions relating to arbitrator
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
Summary
The purpose of this Notice is to inform small FINRA member firms1 of the upcoming Small Firm Advisory Committee (SFAC) election. One seat on the SFAC is up for election, representing the New York region.
The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firm members. The SFAC meets four times a year
The following frequently asked questions provide information about the Central Registration Depository (CRD).
I am a disabled/ Retired Law Enforcement Officer. The fact stable coin yeilds are being taken away slowly WILL result in me going bankrupt and having to move away from my children.
The policies are ruining lives
1. What is the single most neglected area in the field of investor education? How might this area be developed? Bar none, the most neglected area is financial planning -- investing being just one of five primary focus areas. Investment, tax, estate, insurance and retirement planning all need to be discussed and aligned with one’s life/financial goals. It can be developed by changing our mindset/
INFORMATIONAL
Restrictions On Unregistered Persons
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Cold Calling
Telemarketing
Unregistered Persons
Executive Summary
In light of recent federal law, NASD Regulation, Inc. (NASD RegulationSM) has withdrawn its rule
WASHINGTON—FINRA published today the 2025 FINRA Regulatory Oversight Report—a vital information resource comprising observations from across FINRA’s Member Supervision, Market Regulation and Enforcement programs that member firms can use throughout the year to strengthen their compliance programs. The report reflects FINRA’s commitment to providing transparency to member firms and the investing public about its regulatory observations and activities.
