Rules & Guidance
FINRA Manual
FINRA Rules
Capital Acquisition Broker Rules
Funding Portal Rules
SEC Rules and Regulations
Temporary Dual FINRA-NYSE Member Rule Series
Immediately Effective Rule Changes Pending SEC Notification
Recently Approved Rule Changes Pending Determination of Effective Date
Retired Rules
Corporate Organization
Restated Certificate of
Filing your income taxes can be confusing enough, but special tax rules, exclusions, extensions and deployment can make tax season even more difficult for military members and their families. Fortunately, free tax assistance is available both online and on your installation.
Add FINRA's e-learning courses to your firm's learning management system (LMS).
An Affordable Firm Element Solution—for Your Entire Firm
License Options
Unlimited Site License—the Firmwide Firm Element Solution
Add FINRA's entire e-learning course library to your firm's LMS for unlimited access to all courses for all of your firm's employees.
Single Course Licenses
In the securities world today, there is little daylight between money laundering and fraud. On this episode, we learn how FINRA’s Special Investigations Unit works to detect and investigate cases of illicit finance and market abuse, as well as how they proactively identify and mitigate threats.
Not regulators-I should be able to choose the public investment that are right for me and mine family. Public investments should be available to all of the public, not just the privileged. I do not have to go thru any special process like passing an exam before I can buy public securities. I am capable of understanding mine investments and their risks. I do not need terrible mesures, imposed on
Guidance on Social Networking Websites and Business Communications
If available to any then it should be to all. Investors understand risks and do not need regulations to protect us.
The common man or woman should have access and ability to make investments in any market they so choose.
