In-Person Registration Systems Foundation (Fee $300 per person): includes a single day of in-person training for firms on FINRA Gateway and related systems.
(a) Notice
An Applicant may file a written notice of appeal within 15 calendar days after service of a decision issued under Rule 9620. The notice of appeal shall be filed with the Office of General Counsel of FINRA, with a copy of the notice also provided to the appropriate department or staff of FINRA. The notice of appeal shall contain a brief statement of the findings and conclusions as to
SUGGESTED ROUTING*
Senior ManagementOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
The first-Saturday exam session date for September has been changed to August 27,1988, for all test centers because of the Labor Day holiday, which falls during the first weekend of the month.
Requests for appointments for the August 27
session must be
December 5, 2022FINRA President and CEO Robert Cook and Vice President of Member Relations and Education Kayte Toczylowski are joined by senior staff to provide an update on the CE transformation and CAT implementation.Speakers:Robert Cook, FINRA President and Chief Executive OfficerJoe McDonald, Senior Director, Testing and Continuing EducationPaul McKenny, Vice President, FINRA CAT
FINRA staff provide an overview of SEC Rule 15b9-1, the application process, licensing and reporting requirements, and surveillance and oversight post-application approval for firms affected by the adopted amendments.
FINRA Announces New Electronic Process for Submission of Notice and Information Relating to Distributions Subject to SEC Regulation M
Do not limit my ability to invest in leveraged and inverse funds. Doing so will only further rig the system in the hedge fund and large firm favor.
It would be perilous to impose further checks that can be arbitrarily initialized by brokers with an existing conflict of interest via execution of Dark pools or naked shorting. With the flux of retail investors and the massive flux of public man-hours allocated to investigation of the current regulatory systems. Even with tepid limitations on tort in Canada; The existing premium paid for latency
Frequently asked questions about FINRA BrokerCheck, a free tool for researching brokers, brokerage firms, investment advisers & investment adviser firms.
FINRA may, pursuant to the procedures set forth in the Rule 9000 Series, suspend, condition, limit, prohibit or terminate a Trade Reporting Facility Participant's ability to use FINRA/Nasdaq Trade Reporting Facility services in one or more designated securities for violations of applicable requirements or prohibitions. For avoidance of doubt, any determination by FINRA to suspend, limit,
