SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of December 23, 1996, the following bonds were added to the Fixed Income
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
In conjunction with World Investor Week 2024, the SEC’s Office of Investor Education and Advocacy (OIEA), FINRA and other industry regulators are issuing this Investor Bulletin to provide investors with information about the ways in which emerging technologies like AI and crypto assets, and digital platforms like social media and mobile trading apps, are increasingly influencing how people invest.
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the
District Committees and the District Nominating Committees. The
candidates nominated to the District Committees have been duly
elected in
1. Does Rule 5110 apply to public offerings that also are regulated under Rule 2310?
Yes. Rule 2310 regulates the underwriting terms and arrangements of direct participation programs and unlisted real estate investment trusts (collectively, “Investment Programs”) that are publicly offered. All public offerings in which a member participates, with limited exceptions provided in Rule 5110(h),
Findings are Part of the National Financial Capability Study to be Published in JulyWASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) released today preliminary findings from the National Financial Capability Study, which will be published in July. The FINRA Foundation is previewing the data this month—National Financial Capability Month—to provide insight into the overall
SummaryThis Notice reminds firms of the changes to FINRA’s Continuing Education (CE) Firm Element requirement, specifically:extending the requirement to all registered persons;recognizing other required training toward satisfying an individual’s annual Firm Element obligation; andrevising the minimum Firm Element training criteria.FINRA and the Securities Industry/Regulatory Council on Continuing
The Books and Records section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
1 The views and opinions made in this report are those of the authors and do not represent official views or policies of FINRA. This report does not express any official FINRA legal position and does not create any new regulatory requirements or suggest any change in any existing regulatory obligations, nor does it provide relief from any existing regulatory obligations. This report summarizes
