The Anti-Money Laundering (AML) section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Proposed Rule Change to Delay the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
On October 24, 2022, the Election Notice and ballots to elect Regional Committee members in contested elections were mailed to executive representatives of FINRA member firms in Districts 4, 8 and 9 (these Districts were the only contested elections). Ballots must be returned no later than November 23, 2022. Newly elected committee members will take office in January 2023. Ballots were not mailed
Kayte Toczylowski is Vice President of Member Relations and Education for FINRA. In leading the Member Relations and Education Department, Ms. Toczylowski’s responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms. Ms. Toczylowski also oversees FINRA’s Member Education area, which
Simply put, Short Sellers have for decades made the argument that disclosing their position makes them a target for Short Squeeze. However, they in many cases target legitimate companies with the sole purpose of attempting to "shake out" longs to make a profit. This is not the intended use or purpose of allowing short positions, which as I understand it is as a way to address fraudulent
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to the content outline and selection specifications for the Research Analyst (Series 86/87) exam program, including a reduction of the number of scored questions on the Series 86 exam.
SUGGESTED ROUTING*
Corporate Finance
Institutional
Legal & Compliance
Operations
Research
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
As of July 22, 1988, the following 30 issues joined the NASDAQ National Market System
Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
INFORMATIONAL
District Committees And District Nominating Committees
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
District Committee Membership
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
