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Electronic Fingerprint Submission (EFS) Information
On This PageEFS InstructionsEFS VendorsEFS InstructionsBroker-dealer firms and funding portals can submit fingerprints electronically to Sterling Identity (Sterling), FINRA’s designated fingerprint provider, by following the steps below.1. Determine how your firm will submit fingerprintsThere are two options for electronic fingerprinting:Send individuals to a participating EFS vendor’s location.
Highlights from FINRA’s Reg BI Conference for Member Firms
FINRA hosted a Regulation Best Interest (Reg BI) conference on Dec.18, 2019 in Washington, D.C. for firms to discuss best practices and approaches. Approximately 500 compliance officers and other industry participants attended the one-day event focused on assisting firms as they gear up for the June 30, 2020 compliance date for the SEC’s Reg BI and Form CRS.Reg BI establishes a "best
I. FINRA, Inc.
FINRA, Inc. (referenced as "FINRA"), the Registered Section 15A Association, is the parent company of FINRA Regulation, Inc. (referenced individually as "FINRA Regulation") and FINRA CAT, LLC (referenced individually as "FINRA CAT") (referenced collectively as the "Subsidiaries"). The term "Association" shall refer to FINRA and the Subsidiaries
Notice to Members 01-69
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registration Senior Management District Elections Executive Summary The purpose of this Special Notice to Members is to announce the nominees for the
Election Notice – 10/14/15
Notice of FINRA District Committee Elections and Ballots
Election Notice - 12/6/12
FINRA Announces Results of SFAB, NAC and District Committee Elections
Election Notice – 12/18/15
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
Election Notice - 3/24/09
FINRA Announces Election Results for District Committees, District Nominating Committees and the National Adjudicatory Council
Notice to Members 00-81
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of October 23, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity CHB.GA Champion Enterprises Inc. 7.
Notice to Members 98-64
Revised Last Voting Date: September 14, 1998 (Note: voting by NASD member Executive Representatives only through mail ballots distributed with print version of this Notice.) SUGGESTED ROUTING Senior Management Legal & Compliance     Executive Summary     The National Association of Securities Dealers,