• Customer Confirmations—Failure to Comply With Rule Requirements
• Customer Protection Rule—Failure to Comply With Rule Requirements
• Net Capital Violations
• Recordkeeping Violations
• Regulation T and Margin Requirements—Violations of Regulation T and/or FINRA Margin
April 3, 2025Learn about the latest financial crime threats impacting our industry from senior executives in the FBI, Secret Service and Homeland Security.FINRA MEMBER REGISTRATION CRCP Graduates
Financial professionals have a crucial role in protecting elderly clients from financial fraud. NASAA, and FINRA are co-hosting this free webinar that offers practical, actionable strategies to help you identify common elder fraud schemes and learn about the tools available to help prevent and address suspected or detected fraud.
Use this checklist to safeguard your sensitive information and help keep identity thieves at bay.
FINRA is committed to ensuring that all respondents are treated fairly in the disciplinary process. Below, you will find brief answers to a number of questions frequently asked by respondents. We hope these answers will be helpful in orienting you to the disciplinary process.
FINRA's disciplinary proceedings are governed by the FINRA Code of Procedure (the Code). You should consult the Code
Thank you, John for that kind introduction. It's an honor to speak at this great university – and the McDonough School in particular. Georgetown University is an incredibly valuable resource – to its students and the entire business and financial community.
Learn about common fraud tactics and scams and how to avoid them; how to check registration for sellers and investments; and what questions to ask to protect yourself and your assets.
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
What is Mediation
Mediation is a non-binding alternative dispute resolution (ADR) process in which a neutral mediator helps the parties reach an agreed resolution of the disputed issues in the disciplinary proceeding. The mediator assists the parties in reaching their own negotiated settlement by defining the issues, probing and assessing the strengths and weaknesses of each party’s positions,
