Below are all the compliance tools offered by FINRA. Questions? Contact FINRA Support Center at (301) 590-6500 or by email.Anti-Money Laundering TemplateBooks and Records Requirements Checklist for Broker DealersBreakpoints Checklist and WorksheetBreakpoints Sample Written Disclosure DocumentBrokerCheck Link Requirements in FINRA Rule 2210Business Continuity Planning TemplateCompliance
Precious metals IRA frauds frequently target older workers and retirees because they typically have more money saved in their qualified retirement accounts than younger people. Before you consider rolling over your retirement plan to a gold or silver IRA, here are 10 questions you should ask.
FINRA Provides Guidance on Advertising Regulation Issues
Direct Edge received approval from the Securities Exchange Commission to operate two stock exchanges, EDGA Exchange Inc. and EDGX Exchange Inc. Direct Edge plans its transition from ECN to Exchange to take place on a security-by-security phase-in approach over a period of weeks commencing May 12, 2010.
The following are details of FINRA's policy for the retransmission of FDIC-Backed bonds available via the BTDS (corporate bond) data feed.
SummaryThe purpose of this Election Notice is to: (1) notify members of an upcoming election to fill one large firm seat and one small firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional large or small firm
Thank you very much, Mr. Secretary. It's an honor to be here today with you and Secretary Duncan.
During its May 8-9 meeting, the FINRA Board of Governors approved FINRA’s 2023 Annual Financial Report and appointed new members to FINRA’s Advisory Committees.
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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 8, 2018
As is our practice, we are marking the start of the new year by publishing our
Retrospective Rule Review
Comment Period Expires: May 14, 2015
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Senior Management
Systems
Key Topics
Continuing Membership
