Summary
The protection of senior investors is a top priority for FINRA. In August 2019, FINRA launched a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The review indicated that FINRA’s steps to protect seniors have provided helpful and effective tools in the fight against
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons
INFORMATIONAL
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Arbitration
Dispute Resolution Regional Offices
Mediation
Executive Summary
Effective October 6, 2006, NASD will close its Mid-Atlantic Dispute
Resolution Office. All arbitration cases currently assigned to the
Mid-Atlantic Region will continue to be
January 18, 2006
NASD is issuing this OATS report to clarify for members the difference between qualifying for exclusion from the definition of "Reporting Member" under NASD Rule 6951(n) and obtaining an exemption from the OATS Reporting Requirements pursuant to NASD Rule 6957.
On September 28, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rules 6950
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
On-Demand Recording: Phone-In Workshop | Original Program Date: June 8, 2017
Firms are required annually to renew their FINRA, other self-regulatory organization (SRO) and state/jurisdiction registrations through the annual Renewal Program, which begins in the fourth quarter of each year.
The information on this page only applies to organizations without Super Account Administrators (SAAs). See the User Accounts Certification Process for Super Account Administrators (SAA) page for information about the certification process for broker-dealers, funding portals, investment advisers and US-based regulators.When is the 2025 User Accounts Certification Period?The 2025 User
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Foreign Deferrals
In-Firm Delivery
Regulatory Element
Executive Summary
Effective July 14, 2003, the Regulatory Element Continuing Education Supervisors Program (S201) will be
Firm Violated Reg BI, Excessively Traded, and Churned Numerous Customer Accounts, Including Those of Gold Star FamiliesWASHINGTON—FINRA announced today that it has expelled Monmouth Capital Management for churning and excessively trading customer accounts in violation of Regulation Best Interest (Reg BI), failing to supervise its representatives, and providing false and misleading disclosures to
