In 2024, FINRA implemented streamlined and intuitive data entry process for firms’ Financial Notifications and Regulatory Notifications, which includes a new amendment function to help firms make updates and changes to forms. Join this webinar for a high-level overview of this implementation and a demonstration of the new forms.Registration for this webinar is open to FINRA member firms only.
Join FINRA staff for this 30-minute session that focuses on common net capital challenges faced by small firms. FINRA subject matter experts share their expertise on maintaining net capital compliance, with special attention to US GAAP revenue recognition and accrual practices that frequently create financial compliance issues.
Proposed Rule Change to Adopt FINRA Rules 2124 (Net Transactions with Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook
SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Executive Representatives
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
Effective upon publication of this Notice, the National Association of Securities
Executive Summary
On February 27, 2001, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2520 relating to margin requirements for day traders (the "amendments").1 The amendments become effective on September 28, 2001 and are substantially similar to amendments by the New York Stock Exchange (NYSE) to its
Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information
Proposed Amendments to Qualification Examination Fees in Section 4(c) of Schedule A to the FINRA By-Laws
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 District Committees and the District Nominating Committees. The individuals identified in this Special Notice to Members
Proposed Rule Change to Extend to July 16, 2011, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Proposed Rule Change to Adopt Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook
