FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
This is a reminder that the FINRA test region (NTF) is now available for access to TRAQS using FINRA’s new Multi Factor Authorization (MFA) entitlement method. As part of its Transparency Services improvement initiatives, FINRA is introducing a new method for users to gain secure access to the TRAQS website and will be introducing a new system infrastructure.
Beginning in January 2021, FINRA
Exemptive relief is granted based on representations that: the MFP and his spouse each intended to contribute $250 to the Candidate’s campaign; the MFP had pre-cleared a $250 contribution to the Candidate according to his Firm’s policies and procedures; the Firm identified the contribution through its supervisory process; the MFP requested and obtained a refund of the contribution; the Firm directed the Associate to refrain from certain communications involving the subject issuer; and the $500 contribution by the MFP and his spouse would not have triggered a ban on municipal securities business if the MFP and his spouse had both signed the check from their joint account or if they had written separate checks.
Background
In response to the March 2017 Special Notice on Engagement issued as part of FINRA360, FINRA received a number of comments and suggestions regarding ways in which FINRA could help facilitate compliance among its member firms. One of FINRA's defining characteristics as a self-regulatory organization (SRO) is the ability to develop compliance tools and other
(a) Hearing Panel Consideration(1) Appointment of Hearing PanelWhen the disqualified member, sponsoring firm, or applicant requests a hearing, the National Adjudicatory Council or the Review Subcommittee shall appoint a Hearing Panel composed of two or more members, who shall be current or former members of the National Adjudicatory Council or the Statutory Disqualification Committee or former
Calculation of days of suspension. As was the case in prior versions of the FINRA Sanction Guidelines, recommendations for the imposition of suspensions contained herein distinguish between suspensions for 30 or fewer days and 31 or more days. In these guidelines, the NAC recommends that a suspension of 30 or fewer days be measured in business days, while a suspension of 31 or more days be
(a) General Considerations
This Rule provides a limited exception to Rule 2210(d)(1)(F). No member may imply that FINRA endorses or approves the use of any investment analysis tool or any recommendation based on such a tool. A member that offers or intends to offer an investment analysis tool under this Rule (whether customers use the member's tool independently or with assistance
Use FINRA Gateway Reports to pull up a list of individuals at your firm who have received a credit for an exam.
If you want a list of individuals with a particular Series exam, you can use the Filter tool. Whereas the Group method categorizes all individuals at your firm by exam type, the Filter method will return a list of only those individuals who have a specific exam. In this use case, we
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PART I
(a) Persons Subject to Sanctions
If a Party, attorney for a Party, or other person authorized to represent others by Rule 9141, engages in conduct in violation of an order of a Hearing Officer, a Hearing Panel or, if applicable, an Extended Hearing Panel, or other contemptuous conduct during a proceeding, a Hearing Officer, Hearing Panel or, if applicable, an Extended Hearing Panel, may
