FINRA takes disciplinary actions against firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board.
Appendix C.II. Data
On February 28, 2017, FINRA published Appendix C.II. data for the months of April 2016 through January 2017. Going forward, each month’s data will be available on FINRA’s website by the 30th calendar day of the following month. Access the Appendix C.II. data.
Delay in Publishing Appendix B Data
FINRA and the other Participants have requested an exemption
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
You must be a licensed or otherwise qualified medical professional whose credentials are appropriate to diagnose and evaluate the participant's disability. You are asked to make recommendations that are reasonable and appropriate for the participant's disability in taking the Continuing Education (CE) Regulatory Element program. Your recommended accommodations should not fundamentally
Use the New Organization SAA Form to designate an SAA when your organization is new and requires access to the FINRA Entitlement Program.
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a
On September 12, 2016, FINRA added a new ATS Order Type Entry Screen to the OATS Administration Section of the OATS Web Interface.
Under Section 17(f)(2) of the Securities Exchange Act of 1934, (15 USC 78q(f)(2)), and Exchange Rule 17 f-2 thereunder, as amended, firms may be required to submit additional fingerprints if fingerprints are determined to be that the prior submission(s) are illegible or classified as rejected. The process for submitting additional fingerprints differs for broker-dealers and funding
