REQUEST FOR COMMENT
Pandemic Regulatory Relief
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal and Compliance
Operations
Registration
Senior Management
Systems
Trading
Business Continuity
Capital and Financial Reporting
Requirements
Extensions or Credit and Securities
Delivery
Filing and Reporting Requirements
Licensing
Operations
Supervision
Trade Reporting
Temporary
(a) Designation of Chief Compliance Officer(s)
Each member shall designate and specifically identify to FINRA on Schedule A of Form BD one or more principals to serve as a chief compliance officer.
(b) Annual Certification Requirement
Each member shall have its chief executive officer(s) (or equivalent officer(s)) certify annually,1 as set forth in paragraph (c), that the member
FINRA in compliance with the provisions of the Americans with Disabilities Act (ADA) provides testing modifications and aids to candidates with disabilities and/or learning impairments that substantially limit a major life activity (e.g., learning, speaking, hearing, vision).
This Report highlights FINRA’s regulatory operations programs’ expanded focus on ongoing key areas of risk to investors and the markets:
Reg BI and Form CRS
Regulation Best Interest (Reg BI) and Form CRS remain areas of focus across FINRA’s regulatory operations programs. FINRA’s reviews of member firms’ adherence to their obligations pursuant to Reg BI and Form CRS address a number of areas,
CRCP® Program Overview
Learn more about the purpose and content of the FINRA Institute at Georgetown CRCP® program. They include building a culture of compliance and helping compliance professionals take their careers to the next level.
CRCP® Small Firm Scholarship Program
Gain a better understanding of the FINRA CRCP® Scholarship Program and get answers to some of the top questions.
The Business Continuity Plans (BCPs) section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from “FINRA SUPPORT” with the email address “[email protected]”. The email asks the recipient to pay attention “to the report attached below that requires your immediate response” and states that “[t]he attachment contains our updated Public Policy
Summary
FINRA alerts members to an emerging threat to customers and members, where FINRA, NASDAQ and NYSE have observed initial public offerings (IPOs) for certain small capitalization (small-cap) issuers listed on U.S. stock exchanges that may be the subject of pump-and-dump-like schemes (sometimes referred to as "ramp-and-dump" schemes in other jurisdictions).1 FINRA has observed
The Credit Risk Management, Liquidity Risk Management and Net Capital sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of January 21, 1993, the following 22 issues joined the Nasdaq National
Symbol
Company
Date
SOES Execution Level
INFU
Infu-Tech, Inc.
12/22/92
1000
TTRR
Tracor, Inc.
12/22/92
500
TTRRW
Tracor, Inc. (Ser A) (Wts 12/31/01)
12/22/92
500
WAMUO
Washington Mutual Sav Bk (Ser C) (Pfd) (Noncum)
12/22/92
