SummaryFINRA is providing information in this Notice to remind registered persons and firms of the new requirements regarding the Continuing Education (CE) Regulatory Element, including:this year’s training assignments and completion deadline of December 31, 2023;the consequences of not completing required annual training and CE inactive status; andresources available to firms for facilitating
Executive Summary
FINRA has adopted new rules to address brokers with a significant history of misconduct and the broker-dealers that employ them.1 The new rules:
allow a Hearing Officer to impose conditions or restrictions on the activities of a Respondent member firm or Respondent associated person, and require the member firm employing a Respondent associated person to
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceRegistrationSyndicate*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 4, 1992, the Securities and Exchange Commission (SEC) approved amendments to Parts II and III of Schedule C to the NASD's By-Laws permitting Direct Participation Program (DPP) Limited Principals and
Sec. 2. (a) The Board shall have authority, upon notice and opportunity for a hearing, to cancel or suspend the membership of any member or suspend the association of any person associated with a member for failure to file, or to submit on request, any report, document, or other information required to be filed with or requested by the Corporation pursuant to these By-Laws or the Rules
Jeffrey Kalinowski is Senior Vice President, Enterprise & Financial Solutions. In this capacity, he is responsible for the direction and oversight of FINRA’s Financial Reporting, Financial Planning & Analysis; Accounts Payable; Cash Management; Travel, Meetings & Conferences, and Investments & Treasury functions. Mr. Kalinowski joined FINRA in 2018, and
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent cybersecurity risks at third-party providers (commonly referred to as third-party vendors) impacting member firms.
Questions and Answers on FINRA’s Eligibility Proceedings for Firms Participating in the Securities and Exchange Commission’s (“SEC” or “Commission”) Share Class Selection Disclosure Initiative (“SCSD Initiative”).
To guide firms participating in the SEC’s SCSD Initiative, FINRA is issuing the following questions and answers regarding the statutory disqualification process. Information contained
Important Year 2000 Information
Based on milestones published by the Securities Industry Association (SIA), securities firms at this time should have a comprehensive Year 2000 program plan in place and be actively certifying third-party products and service providers for Year 2000 readiness. Firms also need to begin completing the repairs to any of their internal applications and testing these
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Regulatory Element
General Program (S101)
Series 6 Program (S106)
Executive Summary
NASD Rule 1120 (Continuing Education Requirements) permits the NASD, as appropriate, to designate specific Continuing Education
Me not regulators should be able to choose the public investments that are right for me and my family. Public investments should be available to all of the public, not just the privileged. I shouldn't have to go through any special process like passing a test before I can invest in public securities, like leveraged and inverse funds. I am well-educated and fully capable of understanding
