Visualize yourself as one of our 3,600 smart, dedicated and passionate employees – what do you see? Watch the videos below to hear employees from New York to Denver (and more) discuss what it’s like to work at FINRA, and how each of them contributes to our mission of facilitating investor protection and market integrity.
Listen to Brooke, a manager of FINRA’s Securities Helpline for Seniors
(a) Department of Enforcement
With the prior written authorization of FINRA's Chief Executive Officer or such other senior officers as the Chief Executive Officer may designate, the Department of Enforcement may initiate: (1) a temporary cease and desist proceeding with respect to alleged violations of Section 10(b) of the Exchange Act and SEA Rule 10b-5 thereunder; SEA Rules 15g-1
FINRA’s Membership Application Program Group (MAP) serves as the entry point to the securities industry by ensuring that prospective and current FINRA members meet FINRA’s Standards for Admission (Standards). Prospective FINRA members must seek approval for membership through the submission of a New Member Application (NMA). Existing FINRA members must file a continuing membership
Summary
FINRA amended its Membership Application Program (MAP) rules to create further incentives for the timely payment of arbitration awards by preventing an individual from switching firms, or a firm from using asset transfers or similar transactions, to avoid payment of arbitration awards. The amendments will address situations where: (1) a FINRA member firm hires individuals with pending
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOptions*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to the NASD's Rules of Fair Practice creating a separate section relating to options communications with the public. The
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Options
Trading
Executive Summary
Through this Notice, NASD Regulation, Inc. (NASD RegulationSM) is establishing an interpretation that National Association of Securities Dealers, Inc. (NASD®) Rule 2860(b)(3) options position limits apply with respect to options transactions that are intermediated
INFORMATIONAL
Minor Violations Of Rules And Late Fees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Minor Rule Violation Plan
Schedule A of the NASD By-Laws
Executive Summary
On July 3, 2001, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) that
FINRA's Financial Intelligence Unit acts as a nerve center for information on emerging threats impacting the financial industry with the aim of providing actionable intelligence to firms, other regulators and law-enforcement to keep investors safe. On this episode, we learn how the group has grown in recent years and hear how they are evolving the way they share information.
SUGGESTED ROUTING
Senior Management
Government Securities
Internal Audit
Legal & Compliance
Operations
Registration
Executive Summary
Effective June 12, 1995, the Department of the Treasury (Treasury) is adopting amendments to Form G-405, Report on Finances and Operations of Government Securities Brokers and Dealers (FOGS Report), and to Form G-FIN-4, Disclosure Form for Person
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMunicipalOperationsSystems
Executive Summary
Securities and Exchange Commission (SEC) Rule 15c6-l, effective June 1, 1995, establishes three business days as the standard settlement time frame for most securities transactions. Although municipal securities currently are exempt from the rule, the SEC has requested the Municipal
