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
This data provides market activity as of end of day for structured products, based on transactions reported to TRACE. Tables of aggregated price levels are organized by product type.This end-of-day service represents the full asset- and mortgage backed securities markets and is derived using only actual transacted prices from TRACE, the U.S. over-the-counter bond market mandated regulatory
In addition to the potential challenges and related factors noted above, member firms should also be mindful of the potential implications to their regulatory obligations as they consider whether to incorporate the metaverse into their internal systems and processes or use this technology within product offerings. FINRA reminds its member firms that FINRA’s rules—which are intended to be
Eileen Famiglietti, Vice President, Enterprise Risk Management (ERM), leads the ERM program, which provides transparency around the enterprise-level risks FINRA faces in the execution of its mission, strategic goals and key business objectives. The program helps inform FINRA's strategic planning, budgeting and resource allocation processes, as well as its decision making. She oversees the
(a) The term "ADF-eligible security" means an NMS stock as defined in Rule 600(b) of SEC Regulation NMS.(b) The term "Clearing Broker-Dealer" or "Clearing Broker" shall mean the member firm that has been identified in the ADF as principal for clearing and settling a trade, whether for its own account or for a correspondent firm.(c) The term "Correspondent
(a) Each member that is a party to an arbitration in which more than $25,000, exclusive of interest and expenses, is in dispute must pay a non-refundable process fee, due at the time the parties are sent arbitrator lists in accordance with Rule 12402(c) or Rule 12403(b), as set forth in the schedule below.
Process Fee Schedule
Amount of Claim
(exclusive of interest and
(a) Documents and Other MaterialsAt least 20 days before the first scheduled hearing date, all parties must provide all other parties with copies of all documents and other materials in their possession or control that they intend to use at the hearing that have not already been produced. The parties should not file the documents with the Director or the arbitrators before the hearing. If the
Sec. 4. (a) A person whose association with a member has been terminated and is no longer associated with any member of Corporation or a person whose registration has been revoked or canceled shall continue to be subject to the filing of a complaint under the Corporation Rules based upon conduct that commenced prior to the termination, revocation, or cancellation or upon such person
Omer Meisel leads FINRA’s National Cause and Financial Crimes Detections Program (NCFC), which includes the National Cause Program (NCP) and Complex Investigations and Intelligence (CII). Mr. Meisel leads teams that conduct investigations and examinations of firms and gather intelligence to detect financial crimes and inform FINRA and firms of emerging threats and risks to the financial industry.
FINRA is committed to providing firms with prompt and accurate answers to their regulatory questions. As part of that commitment, FINRA has assigned a dedicated Risk Monitoring Team to every firm which includes a Risk Monitoring Senior Director, Risk Monitoring Director, and Risk Monitoring Analyst.
