As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report. On this episode, we hear from four leaders within FINRA's Member Supervision department to discuss highlights from the 2024 report.
<p>The FINRA Board of Governors will consider the following rulemaking items at its December 2015 meeting. After the meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any.</p>
Dear FINRA, First, let me introduce myself. I am Nathan Ayotte, and I am an individual investor with personal goals of acquiring a large average annual compound rate of return each year. Personally, I have been investing in a particular triple-leveraged ETF fund based on the Nasdaq-100 (Ticker: TQQQ) for 4 years, provided by an asset management company called ProShares. The fund is a fantastic,
The Reg BI and Form CRS topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
GUIDANCE
Mediators as Arbitrators
Effective Date: May 6, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Arbitration
Dispute Resolution
Mediation
Executive Summary
The Securities and Exchange Commission (SEC) has approved a new Interpretive Material (IM) to Rule 10308 of the NASD Code of Arbitration Procedure (Code)
FINRA published its 2024 FINRA Annual Regulatory Oversight Report, formerly known as the Report on FINRA’s Examination and Risk Monitoring Program. The report provides member firms with key insights and observations from recent activities of FINRA’s regulatory operations to use in strengthening their compliance programs.
FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
How long do I have to file an arbitration? Is there a statute of limitations?How do I file a Statement of Claim?Where do I file my Statement of Claim?Who will serve the Statement of Claim?How do I serve and file a Statement of Answer?Can I obtain an extension of time to serve and file a Statement of Answer?How do I serve and file counterclaims and cross-claims?How do I serve and file third-party
GUIDANCE
Transfers of Mutual Funds and Variable Annuities
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Broker-Dealer of Record
Customer Account Transfers
Mutual Funds
Negative Response Letters
Rule 2110
Variable Annuities
Executive Summary
In September 2002, NASD issued
The Neutral Corner - Volume 4—2022
