The FINRA Board of Governors will consider the following rulemaking items at its April 2011 meeting. After the April 14 meeting, FINRA will notify firms via email about the Board's actions on these items and anticipated next steps, if any.
The following information applies only to service providers that require access to File Transfer Applications on behalf of FINRA member firms.
Important notes to consider when searching the FINRA Disciplinary Actions Online Database
The FINRA Disciplinary Actions Online system provides the general public with access to FINRA Disciplinary Actions ("Actions").
The timely receipt of firms’ annual audited financial statements is critical to FINRA’s ability to carry out its regulatory obligations.
The following are rulemaking items the FINRA Board of Governors will consider at its December 2010 meeting - this information is being published to provide additional transparency in the rulemaking process.
The trading activity fee (TAF) is one of the regulatory fees FINRA assesses to recover the costs of supervising and regulating firms.
FINRA is reviewing the sale of structured products to investors. In connection with this review, we request the following information for the period of January 1, 2007 to May 31, 2009 (“the review period”).
FINRA is reviewing activities of member firms acting as or working with placement agents in soliciting and/or obtaining business with municipalities and public pension funds.
FINRA's Enforcement Department is conducting a review of broker/dealers that provide Direct Market Access, Naked Access, Electronic Access or Sponsored Access ("DMA") to their customers.
