The following list of factors should be considered in conjunction with the imposition of sanctions with respect to all violations. Individual guidelines may list additional violation-specific factors.
Although many of the general and violation-specific considerations, when they apply in the case at hand, have the potential to be either aggravating or mitigating, some considerations have
The Credit Risk Management topic of the 2024 FINRA Annual Regulatory Oversight Report (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.
The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
Financial Learning Experience™ (FLEX™) is a centralized continuing education (CE) platform that provides e-learning content that firms have the option to leverage for their Firm Element or other training needs.By delivering Firm Element training via the FLEX platform, your learners will be able to take their training directly from their FinPro account.Currently, the platform includes courses from
As part of the registration / licensing process, FINRA administers examinations on which you must demonstrate proficiency in the areas in which you will work, prior to engaging in the activity
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Creating a New Deal
The first step in submitting notifications for an
Sec. 5.9 Notwithstanding Section 5.6, the term of office of a National Adjudicatory Council member shall terminate immediately upon a determination by the FINRA Board, by a majority vote, that: (a) the member no longer satisfies the classification (Industry, Non-Industry, or Public member) for which the member was appointed or elected; and (b) the member's continued service as such
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Sec. 8.8 (a) An individual who meets the qualification requirements of Section 8.2(a) wishing to be considered for election to the Regional Committee shall deliver a written Notice to the Secretary of FINRA Regulation within 30 calendar days after the Secretary of FINRA Regulation gives the Notice of the upcoming elections pursuant to Section 8.7. The Secretary of FINRA Regulation shall
Sec. 5.10 If a position on the National Adjudicatory Council becomes vacant, whether because of death, disability, disqualification, removal, or resignation, the Nominating Committee shall nominate, and the FINRA Board shall appoint a person satisfying the classification (Industry, Non-Industry, or Public) for the position as provided in Section 5.2(a) to fill such vacancy, except that
