December 1999
SEC—Year 2000 Recordkeeping Rule
Effective August 31, 1999, the Securities and Exchange Commission (SEC) adopted SEC Rule 17a-9T (the Rule) relative to Year 2000. The Rule, which was originally proposed in March 1999, is intended to assist broker/dealers, the SEC, self-regulatory organizations (SROs), and the Securities Investor Protection Corporation (SIPC) in identifying all
The Crowdfunding Offerings: Broker-Dealers and Funding Portals topic of the 2025 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, (2) findings and effective practices, and (3) additional resources.
FINRA's new rules for evolving work models — hybrid and remote —provide member firms greater flexibility for their registered persons to work from home. Our new Residential Supervisory Location (RSL) Rule and Remote Inspections Pilot Program Rule are intended to provide member firms greater flexibility — not less — to allow eligible registered persons to work from home, following the expiration of temporary COVID-19 relief from existing requirements.
SummaryFINRA recognizes that member firms and their personnel have been experiencing significant disruptions to their business operations due to the devastating impact of the California wildfires, which started on January 7, 2025. The wildfires have also had a major impact on customers. For instance, customers may be unable to communicate with their financial professional or receive mail during
(a) Recording and Reporting Industry Member Data
(1) Subject to paragraph (a)(3) below, each Industry Member shall record and electronically report to the Central Repository the following details for each order and each Reportable Event, as applicable ("Recorded Industry Member Data") in the manner prescribed by the Operating Committee pursuant to the CAT NMS Plan:
(A) for original
I M P O R T A N T
TO: All NASD Members
SUMMARY
The Securities and Exchange Commission has published for comment a proposed rule addressing the issue of exchange and over-the-counter market makers internalizing customer orders in Rule 19c-3 securities and whether inter market exposure of customer orders should be required. Internalization has been defined by the Commission as a dealer executing
TO: All NASD Members
The Securities and Exchange Commission has adopted a number of amendments to Rule 17f-2 concerning the fingerprinting of securities industry personnel. These revisions are intended to simplify the process of claiming exemptions by clarifying existing provisions of the rule and by incorporating in the rule other exemptions previously granted by the Commission on a case-by-
Frequently Asked Questions (FAQs) about the logistical aspects of the Remote Inspections Pilot Program, including the opt-in process.
From cryptocurrency to NFTs and other options beyond your 401(k), choosing the right investments to meet your financial goals can feel overwhelming.
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
