FINRA Reminds Firms of Responsibilities When Providing Customers with Consolidated Financial Account Reports
SEC Approves Amendments Expanding TRACE to Include Agency Debt Securities and Primary Market Transactions
Guidance to Members Affected by Hurricane Harvey
At FINRA, we’ve built a framework and cultivated a mindset, a culture for innovation and collaboration. It not only helps ensure the securities industry follows the rules, but also it empowers our employees with projects, programs, and opportunities so they can be the best version of themselves. That allows them to build, grow, and shape their career as they protect investors.
Createathon, our
At FINRA, we’re the first line of oversight for the brokerage industry. And our employees are the defenders along that line, ensuring every day that we protect the investing public against fraud and other violations of FINRA rules and the federal securities laws.
We’ve built a framework and cultivated a mindset, a culture for innovation and collaboration. It not only helps ensure the securities
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") has issued Release No. 34-28927, adopting amendments to Rule 15c3-1 (the "Rule") with respect to withdrawals of net capital. The
Industry Governor (Large Firm Representative)Managing Partner, Edward JonesGovernor Since 2022Committees: Audit & Risk Committee, Finance, Operations & Technology CommitteeProfessional ExperienceEdward JonesManaging Partner (2019 – present)Principal, Client Strategies Group (2015 – 2019)Principal, Branch and Region Development (2011– 2015)Principal, Branch Office Administrator
The Financial Crimes Spotlight is a free webinar series hosted by FINRA’s Financial Intelligence Unit that focuses on how to detect and protect against emerging financial crimes and cyber-related threats and trends. These events are open to FINRA member firms only. Participants must provide their firm's broker-dealer number when registering.Upcoming WebinarsThere are no upcoming
GUIDANCEInvestment Analysis ToolsEffective Date: February 14, 2005SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceSenior ManagementIM-2210-6Investment Analysis ToolsPredictions or ProjectionsExecutive SummaryOn September 28, 2004, the Securities and Exchange Commission (SEC) approved an NASD Interpretative Material (IM) to Rule 2210, designated as IM-2210-6,
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
