In addition to the Small Firm Helpline, FINRA has implemented other programs for small firms:
Benefits Specific to Small Firms
Increased the number of Certified Registered Compliance Professional small firm scholarships.
Significantly reduced the small firm registration fee for FINRA conferences.
Initiated a retrospective review of FINRA Rule 4311 (Carrying Agreements), especially important
OverviewHow to Request an Addition to the Eligible Multifamily ProgramsAdditional Eligible Multifamily ProgramsOverviewRule 4210(e)(2)(H)(ii)a.2. provides that: “[A] member is not required to include a counterparty’s Covered Agency Transactions in multifamily housing securities or project loan program securities in the computation of such counterparty’s net mark to market loss, provided
Investment professionals might hold a variety of designations and other credentials, offered by a multitude of organizations. FINRA’s Professional Designations Database provides information about many of the designations you might see used, including the prerequisites and other requirements for obtaining and holding such designations
These comments are in regard to FINRA's Regulatory Notice 22-08 request for comments.
I am a non-professional, active investor who monitors and manages my personal portfolio every day. As such, it is important to allow active investors like myself to make their own determination of what products to use at what time to achieve their financial goals. Individual investors, not regulatory
This is the final reminder for the TRACE Depository Institution Reporting requirement before this initiative commences.
As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal
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Quantum mechanics is a branch of physics that deals with the complex properties of atoms and sub-atomic particles.2 Quantum computing leverages the principles of quantum mechanics to solve problems too large or complex for traditional computers. Although quantum computing is still
FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
Sec. 4.7 The term of office of a Director shall terminate immediately upon a determination by the Board, by a majority vote of the remaining Directors, that: (a) the Director no longer satisfies the classification for which the Director was elected; and (b) the Director's continued service as such would violate the compositional requirements of the Board set forth in Section 4.3.
Sec. 4.7 The term of office of a Director shall terminate immediately upon a determination by the Board, by a majority vote of the remaining Directors, that: (a) the Director no longer satisfies the classification for which the Director was elected; and (b) the Director's continued service as such would violate the compositional requirements of the Board set forth in Section 4.3
(a) Except as provided in paragraph (b), no member shall, directly or indirectly, give, permit to be given, or offer to give, anything of value to any person for the purpose of influencing or rewarding the action of such person in connection with the publication or circulation in any electronic or other public media, including any investment service or similar publication, Web site, newspaper
