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WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Berthel Fisher & Company Financial Services, Inc. and its affiliate, Securities Management & Research, Inc., of Marion, Iowa, a combined $775,000 for supervisory deficiencies, including Berthel Fisher's failure to supervise the sale of non-traded real estate investment trusts (REITs), and leveraged and inverse exchange-traded funds (ETFs).
Individuals who are joining or currently registered with a broker-dealer can do the following in FinPro:View your CRD recordNotify your firm when you have reviewed your CRD record, and confirm whether or not updates are needed (firm must enable Attestation feature in FINRA Gateway)Enter information and electronically sign Form U4 (firm must enable Allow Rep Edits and/or E-Signature features in
The Financial Industry Regulatory Authority, Inc. (“FINRA”) provides investor education content, security-specific product data (described below) and publicly disseminated trade report on transactions in TRACE-eligible, fixed income securities through the bond facts tool. The data accessed through the tool and the bond facts tool are herein after referred to as the “Bond Facts Tool".
The online Engagement Portal provides a convenient method through which individuals may indicate their interest in being considered for positions on FINRA’s committees and boards. Interested individuals may submit basic contact and background information, indicate the committees or boards they are interested in and provide a brief biographical summary and a statement regarding why they are
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released its 2018 Regulatory and Examination Priorities Letter, highlighting topics that FINRA will focus on in the coming year, including new and ongoing areas of focus.
The Priorities Letter – alongside FINRA’s 2017 Examination Findings Report – serves as a resource for broker-dealers to enhance their compliance,
The Outside Business Activities and Private Securities Transactions section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
FINRA's e-learning library and individual courses offer training on a range of compliance topics, including anti-money laundering, variable annuities and ethics.
FINRA has updated the TRACE Corporate and Agencies Web API specification.
On Monday, March 20, 2017, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination.