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FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the May 2018 FINRA Board of Governors meeting.
These documents provide a formatted version and explanatory text for firms to follow in building batch forms and retrieve reports.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Industrial and Commercial Bank of China Financial Services LLC (ICBCFS) $5.3 million for systemic anti-money laundering (AML) compliance failures, including its failure to have a reasonable AML program in place to monitor and detect suspicious transactions, as well as other violations, including
Board Approves Rule Proposals and Previews Annual Financial Report
WASHINGTON – FINRA’s Board of Governors held its second meeting of 2018 on May 9-10 in New York, where it approved two new rule proposals and previewed a draft of the organization’s Annual Financial Report, which FINRA issues each year to provide transparency into its finances. The 2017 report will be published in June.
The
Monthly Disciplinary Actions May 2018
Instructions for Requesting Entitlement to the Information Requests Application in the FINRA Gateway
Instructions for Requesting Entitlement to the Information Requests Application in the Firm Gateway
This report is provided as a compliance tool to help TRACE Security Administrators monitor TRACE system entitlement.
Beginning with the June 2009 reporting period, FINRA is issuing a preliminary version of the OATS Compliance Report Card in an effort to provide firms with more timely information regarding their overall OATS compliance performance.
Across generations, women trail men in financial knowledge—but the gap may be closing. This Mother's Day, here are some tips to keep that momentum going.