General1. Q: Why does FINRA publish the Sanction Guidelines?A: FINRA publishes the Sanction Guidelines to familiarize member firms and associated persons with the disciplinary sanctions that could result from typical securities industry rule violations.2. Q: Who develops the sanctions and fines?A: The National Adjudicatory Council (NAC), the appellate body for FINRA disciplinary actions
The Advertising Regulation Department (the “Department”) protects investors by helping to ensure that broker-dealers’ communications with the public are fair, balanced, and not misleading. The Department reviews communications such as websites, search advertisements, brochures, commercials, and print communications for compliance with applicable FINRA, SEC, MSRB, and SIPC rules through four key
Rule 4530(f) requires firms to promptly file with FINRA copies of specified criminal actions, Civil complaints and arbitration claims.
INFORMATIONALSanction GuidelinesSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceRegistered RepresentativesSenior ManagementDeterrence of Future MisconductNASD Sanction GuidelinesExecutive SummaryThis Notice advises NASD members of modifications to the NASD Sanction Guidelines (Guidelines). NASD is modifying General Principles Nos. 1 and 3 of the Guidelines to
As the world’s largest securities self-regulatory organization, NASD has been helping to bring integrity to the markets and confidence to investors for more than 60 years.
FINRA Updates Form for Filing Private Placements of Securities Pursuant to FINRA Rules 5122 and 5123
Questions to Ask Before You File a Complaint
Personnel Background Investigations
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
Article III, Sections 3 and 4 of the FINRA By-Laws
NASD Rule 3010(e)
NTM 97-19
NTM 05-39
NYSE Interpretation Handbook Rule 345.11/01
NYSE Rule 345.11
NYSE Rule 346b
Suggested Routing
Compliance
Executive Representatives
Human Resources
Legal
Operations
Principals
Registered
FINRA is committed to ensuring that all respondents are treated fairly in the disciplinary process. Below, you will find brief answers to a number of questions frequently asked by respondents. We hope these answers will be helpful in orienting you to the disciplinary process.
FINRA's disciplinary proceedings are governed by the FINRA Code of Procedure (the Code). You should consult the Code
INFORMATIONAL
Selling Away And Outside Business Activities
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Insurance
Legal & Compliance
Operations
Registered Representatives
Senior Management
Outside Business Activities
Private Securities Transactions
Promissory Notes
NASD Rule 3030
NASD Rule 3040
Supervision
Executive Summary
NASD Regulation, Inc. (
