The FINRA Board of Governors will consider the following rulemaking items at its April 2015 meeting: <br><br>
<ul>
<li>Communications with the public</li>
<li>Mark-up/mark-down rule application to US treasury securities</li>
<li>Municipal advisor exam fee</li>
<li>Trading activity fee</li>
</ul>
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 theMunicipal Securities Rulemaking Board (MSRB).
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 theMunicipal Securities Rulemaking Board (MSRB).
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 theMunicipal Securities Rulemaking Board (MSRB).
The SEC has
SR-FINRA-2018-013 - Approval Order
a proposed rule change to establish a new FINRA Trade Reporting Facility in conjunction with Nasdaq (the FINRA/Nasdaq TRF Chicago). Firms that intend to be a participant in the FINRA/Nasdaq TRF Chicago must submit a FINRA/Nasdaq TRF Chicago Participation Request Form to the FINRA/Nasdaq TRF and FINRA, in accordance with
A resource where small broker-dealer firms can get help navigating FINRA’s systems and resources.
Call (833) 26-FINRA (833-263-4672)
Monday – Friday
8 a.m. – 6 p.m. Eastern Time
As part of our ongoing efforts to provide support for small firms, and in response to the FINRA Special Notice on Engagement and FINRA360, FINRA developed the Small Firm Helpline to assist broker-dealers that need
FINRA requires members to file a continuing membership application (CMA) whenever they effect changes in ownership, control, or business operations. Members also must file a CMA whenever they seek to modify or remove restrictions previously imposed in a membership agreement. The CMA process protects investors by ensuring that a member’s supervisory and compliance systems, policies, and procedures
The documents below are intended for use by those participating in Web EFT user testing and should be used solely in conjunction with the fileX QA environment. These documents are draft versions of the schemas which will be updated as part of a future CRED release. Please note that current versions of the Web EFT schema files must be used when submitting form filings in our production
