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1. What types of Dual Deficiencies exist?
There are three deficiencies: RR/RR, RR/RA, RA/RA. A state may have different requirements for each registration combination. Contact the state regulator directly.
FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the September 2017 FINRA Board of Governors meeting, including the rule proposals, committee news and other items that were discussed.
Proposed Rule Change to Amend Section 13 of Schedule A to the FINRA By-Laws Relating to the Review Charges for Communications Filed with or Submitted to FINRA
As prepared for delivery
Good afternoon. Thank you, Wayne [Abernathy], for that kind introduction and for the invitation to speak with you today. It is a pleasure to address this group, which plays such a unique role in facilitating the open discussion of important issues facing our economy and financial system.
Most of you, I assume, invest in the stock market. Many of you invest through
Beginning Monday, October 2, 2017, Jane Street (MPIDs: JSCA and JSEB) will become a Trade Reporting Only (TRO) participant on the FINRA Alternative Display Facility (ADF).
Please contact FINRA Business Services at (866) 953-4672 if you have questions about this notice.
FINRA would like to remind member firms of their obligation to file the appropriate FOCUS reports, short interest reports, annual audits and customer complaints by their due dates. The following schedule outlines due dates for 2008. Questions regarding the information to be filed can be directed to the appropriate District Office.
The success of securities arbitration depends on the quality of the arbitrators who hear and decide the disputes presented by the parties.
How to Download a Report From Web CRD
CRD constituents may choose to request a report or set of data that is not available through the standard reports library. For additional information, please refer to the Reports Quick Reference Guide.
An Ad Hoc Report can be customized by the requestor, within policy limits established by FINRA, to include a variety of data elements and will be delivered in the format requested by the
Security Futures Risk Disclosure Statement