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News Release
November 6, 2014
FINRA Investor Survey Reveals Strong Support for Additional Regulatory Protections
WASHINGTON—The Financial Industry Regulatory Authority (FINRA) released a survey
of U.S. investors designed to measure perceptions of fairness and to gauge demand for additional regulatory protections. FINRA's survey of 1,000 adults revealed that 92 percent of investors agreed (62 percent strongly agreed and 30 percent somewhat agreed) that it…
Arbitration and Mediation
November 5, 2014
Information for Arbitrators
Become an Arbitrator
Enhance your career. Focus on fairness. Preserve trust in our markets. Protect investors.
Become an Arbitrator
Learn how to join the ranks of FINRA's arbitrators, a group of dedicated individuals serving the investing public and the securities industry.
Responsibilities
Learn more about your duties as an arbitrator.
Case Guidance & Resources
Find resources to help you conduct cases in a…
Arbitration and Mediation
November 5, 2014
Information For Mediators
Become a Mediator
FINRA focuses on certain criteria to determine which candidates qualify for our roster. Learn more about how to become a FINRA mediator and the benefits of being a mediator.
Responsibilities
FINRA mediators are responsible for adhering to the Model Standards of Conduct and for signing a Loyalty Affirmation.
Case Resources
FINRA offers mediators a variety of resources and training throughout the year…
Technical Notice
November 5, 2014
Technical NoticeReminder: OTC Trade Reporting Facility (ORF) MigrationNovember 05, 2014
The FINRA ORF technical platform migration will begin on Monday, November 17, 2014. The major functional and administrative areas for the migration…
Rule Filing
October 31, 2014
SR-FINRA-2014-045
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to update cross-references and make other non-substantive changes within FINRA rules, primarily as the result of approval of new consolidated FINRA rules.
SR-FINRA-2014-045
Proposed Rule Change to Update Rule Cross…
News Release
October 30, 2014
FINRA Names Richard Berry Director of Dispute Resolution
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) announced today that Richard W. Berry will become Executive Vice President and Director of Dispute Resolution, starting December 1. Berry will report directly to Richard Ketchum, FINRA's Chairman and CEO. He is replacing Linda Fienberg, who is retiring on November 30.
Berry joined NASD in 1995 as head of…
News Release
October 30, 2014
FINRA, SEC Warn Investors About Penny Stock Scams Hyping Dormant Shell Companies
WASHINGTON—The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy today issued an alert warning investors that some penny stocks being aggressively promoted as great investment opportunities may in fact be stocks of dormant shell companies with little to no…
Article
October 30, 2014
Register a New Broker-Dealer Firm
To conduct securities transactions and business with the investing public in the United States, both firms and individuals must be registered with FINRA. Firms must apply and meet certain membership…
Speech / Testimony
October 29, 2014
Susan F. Axelrod
Executive Vice President, Regulatory Operations
Remarks From the SIFMA Complex Products Forum
October 29, 2014…
Guidance
October 29, 2014
Index Warrants Position & Exercise Limit Rules
FINRA Rule 2359(a) provides that “…no member shall effect for any account in which such member has an interest, or for the account of any partner, officer, director or employee thereof,…