New courses are added to the FLEX catalog on a quarterly basis. Bookmark this page to view the latest offerings as well as announcements pertaining to system upgrades and enhancements.New Firm Element Courses – April 2025AML Compliance: Account MonitoringThis course focuses on the requirements of the Bank Secrecy Act (BSA) and common red flags of money laundering that may be present in customer
The ways in which people communicate have changed with advancements in technology, and so have the tactics of “cold calling” boiler rooms. Today’s boiler rooms go beyond the telephone to contact potential investors, including pitching through messaging apps and social media. Regardless of the method of contact, the scammer’s goal and many of the red flags are the same.
Listen to FINRA CEO Robert Cook discuss proposed new Rule 4111 at the 2019 FINRA Annual Conference.
Summary
As part of FINRA’s ongoing initiatives to protect investors from misconduct, FINRA is requesting comment on proposed new Rule 4111 (Restricted Firm Obligations) that would impose tailored obligations, including possible financial requirements, on designated member firms that cross
Fairness, integrity and efficiency make the U.S. capital markets the most successful in the world. In the past decade, more than 5,600 domestic and foreign enterprises raised an aggregate of over $500 billion through IPOs in U.S. markets. These IPOs served as an engine for corporate growth and active participation by all sectors of the investment community, from venture capitalists to large
08-47 - NASD Rule 3070(c) and Incorporated NYSE Rule 351(d) require all member
firms to report on a quarterly basis statistical information regarding
customer complaints.
Executive Summary
The annual meeting of FINRA firms will take place on or about Wednesday, September 1, 2021, to elect one Large Firm Governor, one Mid-Size Firm Governor, and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Monday, August 2
Summary
FINRA requests comment on the practice of internalizing customer trades in the corporate bond market after obtaining auction responses, commonly known as “pennying.” In particular, pennying involves a dealer, after receiving a customer order, initiating a bid or offer wanted auction process on behalf of a customer, reviewing the auction responses, and then executing the customer order
(a) When and How Transactions are ReportedEach member that is a Party to a Transaction in a TRACE-Eligible Security must report the transaction. A member must report a transaction in a TRACE-Eligible Security as soon as practicable, but no later than within one minute of the Time of Execution, except as otherwise specifically provided below. Transactions not reported within the specified
The Disclosure of Routing Information section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
