Displaying 81 - 90 of 1646 Results
Account Statements: 08-77
Auction Rate Securities: 08-21
Bond Mutual Fund Volatility/Risk Rating: 00-23, 01-58, 03-48, 06-05
Books and Records: 96-82, 98-11, 03-33, 05-27, 06-45, 08-12, 08-28, 08-73, 10-06, 11-39, 17-18
Branch Offices: 02-52, 05-66, 05-67, 06-12, 14-11
Brokerage: 13-23
BrokerCheck Link: 14-19, 15-50
Capital Acquisition Broker Rules: 16-37, 17-14
Capital Formation: 17-14
FINRA's e-learning library and individual courses offer training on a range of compliance topics, including anti-money laundering, variable annuities and ethics.
Additional Proposals Include Updates to Rules on Underwriting Arrangements and Desk Commentary
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today requested comment on its rules governing the participation of its member firms in capital raising, as part of a continuing effort to modernize its regulation of those activities while maintaining important protections for investors
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) significantly expanded and enhanced its investor protection and market regulation capabilities in 2010 in each of the areas central to its investor protection mission
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released its 2016 Regulatory and Examination Priorities Letter highlighting three broad issues – supervision, risk management and controls; and liquidity. The letter also emphasizes firm culture, conflicts of interest and ethics, and the significant role each of these plays in the way a firm conducts its business.
FINRA cites
Remarks From the National Compliance Outreach Program for Broker-Dealers
Beginning June 9, 2023, candidates will need an approved accommodation to schedule an online appointment for an NFA or FINRA exam (other than the SIE). Online appointments scheduled to be taken after Sept. 9, 2023, will be canceled if the candidate does not have an approved accommodation.
Learn more in the How to Schedule an Appointment to Take Exams Online (Remotely) section of the Schedule
Summary
FINRA has adopted changes to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) to require members to file retail communications that promote or recommend private placement offerings that are subject to those rules’ filing requirements.1 The new filing requirements become effective on October 1, 2021.
The amended text of the
Summary
FINRA has updated the form that members must use to file offering documents and information pursuant to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) (Filer Form). The updated Filer Form will be accessible in the FINRA Gateway beginning May 22, 2021, and includes new and updated questions that will facilitate review of