Displaying 81 - 90 of 11746 Results
This rule is no longer applicable.
The term "branch office manager" means a registered representative in charge of a branch office.
We are reissuing this alert because, as interest rates have increased in recent months, so have calls to FINRA from investors concerned that promotions for higher-than-average CD rates are in fact pitches for high-commission investment products.
The Uniform Forms U4 and U5 are used by broker-dealers to register, and terminate the registrations of, associated persons with self-regulatory organizations (SROs) and the jurisdictions. Forms BD and BDW are joint forms used by the Securities and Exchange Commission (SEC), SROs, and the jurisdictions. The forms are used, respectively, to register and to terminate the registrations of broker-dealers.
WASHINGTON—FINRA today announced the opening of registration for the 2020 FINRA Artificial Intelligence (AI) Virtual Conference and FinTech Office Hours Nov. 9-10.
The Virtual AI Conference is a half-day event designed to bring together regulators and industry leaders within the financial industry to discuss the use of AI and related opportunities and challenges. The conference builds on FINRA
We don't get involved in politics or elections, we don't have a PAC, but we do have an office of Government Affairs. In the latest FINRA Unscripted, Greg Dean talks about how his team serve as a touch point for politicians and other state and federal regulators
FINRA Updates Designation Criteria to Require Firms Reporting U.S. Treasury Securities to TRACE to Participate in FINRA’s Business Continuity/Disaster Recovery Testing
FINRA issued Regulatory Notice 15-37 requesting comment on proposed rules addressing the financial exploitation of seniors and other vulnerable adults.
Several Rules require that member firms notify both FINRA and SEC national and applicable regional offices when certain financial and operation conditions occur. The Regulatory Notifications application provides a filing system that gives member firms the ability to electronically submit regulatory notification filing information.