SEC Approves FINRA Membership Waive-In Process for Certain NYSE Member Organizations
Firms have shared the following ways they have used prior FINRA publications, such as Exam Findings Reports and Priorities Letters (collectively, Reports), to enhance their compliance programs. We encourage firms to consider these practices, if relevant to their business model, and continue to provide feedback on how they use FINRA publications.
Assessment of Applicability – Performed a
Firms have used prior FINRA publications, such as Exam Findings Reports and Priorities Letters (collectively, Reports), to enhance their compliance programs. We encourage firms to consider these practices, if relevant to their business model, and continue to provide feedback on how they use FINRA publications.
Assessment of Applicability – Performed a comprehensive review of the findings,
In addition to the potential challenges and related factors noted above, member firms should also be mindful of the potential implications to their regulatory obligations as they consider whether to incorporate the metaverse into their internal systems and processes or use this technology within product offerings. FINRA reminds its member firms that FINRA’s rules—which are intended to be
Merger of FINRA Dispute Resolution
Regulatory Notice
Notice Type
Rule Amendment
Referenced Rules & Notices
By-Laws of FINRA Dispute Resolution, Inc.
By-Laws of FINRA Regulation, Inc.
Plan of Allocation and Delegation of Functions by NASD to Subsidiaries
Suggested Routing
The Cybersecurity and Cyber-Enabled Fraud topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
The Market Access Rule topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Technology has long played a central role in financial services innovation. It continues to do so today as many firms in the securities industry introduce new digital investment advice tools to assist in developing and managing investment portfolios. FINRA undertook a review of selected digital investment advice tools to assess these developments.
The observations and practices in this report
SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants
Summary
FINRA has adopted amendments to Rule 2231 (Customer Account Statements) to add eight new supplementary materials pertaining to:
compliance with Rule 4311 (Carrying Agreements);
the transmission of customer account statements to other persons or entities;
the use of electronic media to satisfy delivery obligations;
compliance with Rule 3150 (Holding of Customer Mail);
the
