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This video series helps firms currently in the Membership Application Program (MAP) process including those who are considering registering a new broker-dealer firm or filing a continuing membership application. The five short videos outline the various stages of the process and highlight key resources.Membership Application Program - MAP TriageThis video addresses the MAP intake process,
The following outlines process and procedures if there was not sufficient information in the interpretive guidance available online.
Oral Interpretive Requests
If, after consulting the available guidance, a requester determines that an interpretive issue exists with respect to FINRA's rules, the requester should consider contacting OGC staff by telephone to discuss the issue in more
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Incident FreeAll status information is reported on this page in Eastern Time (ET). To report a system outage or disruption, please email or call the FINRA Support Center at (301) 590-6500.FINRA Gateway Scheduled MaintenanceStatus: Unavailable during scheduled maintenance.Maintenance Period: Friday, April 26, 2024 9:00 p.m. to Sunday, April 28, 2024 6:00 p.m.Description: Due to scheduled
FINRA/Nasdaq TRFSchedule D - OfficersChuck Mack, PresidentErika Moore, SecretaryDana Laidhold, TreasurerMarc Samuel, Assistant Treasurer Tushar Mehta, Assistant TreasurerAmy Kohn, Vice PresidentSchedule E - DirectorsChris StoneChuck MackJohn ZeccaFINRA/NYSE TRFSchedule D - OfficersDoug Foley, Senior Vice President, HR & AdministrationWarren Gardiner, Senior Vice President & Chief
A crowdfunding intermediary must register with the Securities and Exchange Commission (SEC) as a broker or as a funding portal and become a member of a national securities association (FINRA). The following crowdfunding intermediaries are registered with the SEC as funding portals and are funding portal members of FINRA.Learn more about funding portals.For broker-dealer firms, view the Broker
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.
In order to perform system maintenance, the FINRA Test Facility (NTF) will be unavailable for client testing for all products on Friday, April 26, 2024. Production systems are unaffected by this event. NTF will become available again for all products starting April 29, 2024. Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
Published January 5, 2024.Updated April 24, 2024.*FINRA has announced1 that the requirements relating to Covered Agency Transactions, as amended pursuant to SR-FINRA-2021-010,2 will become effective on May 22, 2024. “Covered Agency Transactions,” as defined more fully under amended Rule 4210(e)(2)(H)(i)b., are (1) To Be Announced (TBA) transactions (inclusive of adjustable rate mortgage
Every day, millions of equity trades are made off the major stock exchanges in what’s known as over-the-counter (OTC) trading. It’s a massive part of the global financial market, with OTC trading in certain types of financial products accounting for billions of dollars in trades daily. Learn more about OTC trading in equities and the unique risks that may be involved.
If you’re just starting your career, planning for retirement might be the last thing on your mind. However, the choices you make now can significantly affect your finances in the future. You don’t want to overlook is the 401(k), which can be a powerful resource for building a secure retirement.