Financial Exploitation of Seniors
Regulatory Notice
Notice Type
Rule Amendment and New Rule
Referenced Rules & Notices
FINRA Rule 2010
FINRA Rule 2140
FINRA Rule 2150
FINRA Rule 2165
FINRA Rule 3310
FINRA Rule 4521
FINRA Rule 11870
Regulation S-P
SEA Rule 17a-
Guides for FLEX AdministratorsAccessing FLEX on FINRA GatewayAccessing the FLEX CatalogUploading UsersUploading Course AssignmentsDistributing Courses Through Firm LMSDistributing Courses Through the FLEX PlatformFinancial Learning Experience (FLEX) Administrator User GuideGuides for FLEX LearnersFinancial Learning Experience (FLEX) Learner User GuideAdditional SupportFINRA Gateway Release Notes
(a) Standards for Member Conduct
Except as otherwise provided in this Rule, a member that is a party to a networking arrangement under which the member conducts broker-dealer services on or off the premises of a financial institution is subject to the following requirements:
(1) Setting
A member that conducts broker-dealer services on the premises of a financial institution shall:
(A) be
James Gonedes served two combat tours in Iraq as a Marine. While there, he formed many enduring bonds and friendships, including with fellow Marine Clayton Cohn. So when Clayton started working as an investment adviser in Chicago after their discharge, James gladly invested in his hedge fund business. He eventually gave Cohn almost $400,000—money James had inherited from his late father.
Sec. 5.1 The Board shall elect the officers of FINRA Dispute Resolution, which shall include a President, a Secretary, and such other executive or administrative officers as it shall deem necessary or advisable, including, but not limited to: Executive Vice President, Senior Vice President, Vice President, General Counsel, and Treasurer of FINRA Dispute Resolution. All such officers
Sec. 7.1 The Board shall elect the officers of FINRA Regulation, which shall include a President, a Secretary, and such other executive or administrative officers as it shall deem necessary or advisable, including, but not limited to: Executive Vice President, Senior Vice President, Vice President, General Counsel, and Treasurer of FINRA Regulation. All such officers shall have such
Sec. 1. The Board shall elect a Chief Executive Officer, who shall be responsible for the management and administration of its affairs and shall be the official representative of the Corporation in all public matters and who shall have such powers and duties in the management of the Corporation as may be prescribed in a resolution by the Board, and which powers and duties shall not be
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
Firm regulatory risks and priorities don't exist in a vacuum. And that is perhaps nowhere clearer than when it comes to a firm's anti-money laundering responsibilities. A firm's AML risks can overlap with any number of other priorities. On this episode, the first of a two-part series, we look at the overlapping risks of AML and cybersecurity.
