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Executive Summary
On March 6, 1998, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD® or Association) Rules 6950 through 6957 (Rules), which establish an Order Audit Trail SystemSM (
list of Participant Information And Legal Agreements
Registered individuals are required to complete Continuing Education (CE) annually by Dec. 31. Annual Regulatory Element CE training may be accessed by visiting FinPro. Individuals who self-enrolled can complete their training by logging in to TESS®.Support for FinPro, TESS and CE is available during core business hours, Monday through Friday from 8 a.m. to 8 p.m. ET.
On This PageEFS InstructionsEFS VendorsEFS InstructionsBroker-dealer firms and funding portals can submit fingerprints electronically to Sterling Identity (Sterling), FINRA’s designated fingerprint provider, by following the steps below.1. Determine how your firm will submit fingerprintsThere are two options for electronic fingerprinting:Send individuals to a participating EFS vendor’s location.
Broker-dealers that recommend or sell private placements have additional requirements under FINRA and SEC rules. These requirements include:Filing certain offering documentsEnsuring the suitability of any investments they recommendFiling RequirementsTwo FINRA rules require firms to file certain offering documents and information about the issuer, the offering terms, and the firms selling the
January 2008
FINRA is conducting a review of the policies, procedures and controls with respect to information barriers. To facilitate this review, FINRA requests a copy of the following information and/or documentation:
Organizational charts for the firm's investment banking department (or equivalent department, i.e. financial advisory department) and compliance
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
Each Industry Member shall submit to the Central Repository information sufficient to identify such Industry Member, including CRD number and LEI, if such LEI has been obtained, prior to such Industry Member's commencement of reporting to the Central Repository and in accordance with the deadlines set forth in Rule 6880, and keep such information up to date as necessary.
(a) Initial Covered Securities Loans (1) When and How Initial Covered Securities Loans Are Reported For Initial Covered Securities Loans, Covered Persons must report the information specified in paragraph (a)(2) of this Rule to SLATE, as provided in this paragraph (a)(1): (A) An Initial Covered Securities Loan effected on a business day at or after 12:00:00 a.m. Eastern
La Oficina del Ombuds trabaja independientemente de otros departamentos y de la dirección de FINRA. Rinde cuentas directamente al Comité de Auditoría de la Junta Directiva de FINRA.
