Summary
FINRA has updated the form that members must use to file offering documents and information pursuant to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) (Filer Form). The updated Filer Form will be accessible in the FINRA Gateway beginning May 22, 2021, and includes new and updated questions that will facilitate
Join this webinar for an overview of the Customer Information Request that was sent to some member firms through FINRA Gateway on August 12, 2024. FINRA staff will discuss the objective of the request, how the data will be used and who to contact with questions.
To support their investor protection missions, FINRA and state securities regulators jointly collect and publicly disclose extensive registration information about financial professionals associated with broker-dealer firms (referred to herein as FINRA-registered financial professionals or RFPs). This registration information, which includes information about customer complaints, is used by regulators to license and oversee RFPs. The information publicly disclosed about RFPs is far more comprehensive than what is published for most other types of professionals.
CRCP Designation Usage and Certification MarksPlease refer to the guidelines for using the CRCP® designation and certification marks.CRCP Continuing Education RequirementCRCP graduates are required to complete 12 hours of continuing education (CE) every three years as of their certificate anniversary award date. You can choose your CRCP CE credits from these FINRA-developed conferences
(a) Each member shall be required to file with FINRA, or otherwise submit to FINRA, in such electronic format as FINRA may require, all regulatory notices or other documents required to be filed or otherwise submitted to FINRA, as specified by FINRA.
(b) Each member must identify, review and, if necessary, update its executive representative designation and contact information as required
A member who in the capacity of paying agent, transfer agent, trustee, or in any other similar capacity, has received information as to the ownership of securities, shall under no circumstances make use of such information for the purpose of soliciting purchases, sales or exchanges except at the request and on behalf of the issuer.
Cross Reference–Rule 2150. Improper Use of Customers'
No member or person associated with a member shall file with FINRA information with respect to membership or registration which is incomplete or inaccurate so as to be misleading, or which could in any way tend to mislead, or fail to correct such filing after notice thereof.
Amended by SR-FINRA-2009-009 eff. Aug. 17, 2009.Selected Notice: 09-33.
