This page provides a comprehensive collection of rules governing communications with the public and advertising practices for FINRA member firms. These include FINRA communications rules as well as relevant SEC, MSRB and SIPC advertising regulations.FINRA Communications and Disclosure Rules2210. Communications with the Public2211. Communications with the Public About Variable Life Insurance and
Proposed Rule Change to Amend FINRA Rule 12403 of the Code of Arbitration Procedure for Customer Disputes to Simplify Arbitrator Selection in Cases with Three Arbitrators
FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
How FINRA Assesses Performance of its Machine Learning Models
Data science has come a long way in the past 10 years. As machine learning projects become productionized, they look increasingly like software projects. Focus has shifted from presenting charts to integrating AI software into a production pipeline. There is still plenty of work in the former scenario, but the latter has become more
SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
Use the Certification Representative (CRep) Designation Request to designate or replace a Certification Representative for your organization to complete the Entitlement User Accounts Certification Process.This request has specific instructions and signature requirements which must be met for processing.Electronic Submission via DocuSignThis request must be completed electronically. The link below
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA's NYSE Rules 421 (Periodic Reports), 440F (Public Short Sale Transactions Effected on the Exchange) and 440G (
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On October 20, 1987, the United States District Court for the Western District of Michigan appointed a SIPC trustee for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close out open OTC contracts. Also,
Information Notice - 8/26/08: June 2008 Supplement to the Options Disclosure Document
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On October 14, 1986, the United States District Court for the Eastern District of New York, appointed a SIPC Trustee for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC contracts.
