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Anti-Money Laundering
Accuracy of Net Capital Computations
Liquidity
Segregation of Client Assets
Operations Professional Registration
Customer Confirmations
DBAs and Communications with the Public
Best Execution
TRACE Reporting
Market Access Controls
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Customers give registered representatives authority to act on their behalf when they provide authorization to engage in discretionary trading or permit registered representatives to act as trustees or co-trustees, hold Powers of Attorney or serve as executors or beneficiaries. FINRA reminds firms that these roles can expose investors to material risks—e.g., unsuitable or excessive
The Reasonable Diligence for Private Placements section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
The Suitability for Retail Customers section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
The Fixed Income Mark-Up Disclosure section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Suitability for Retail Customers
Fixed Income Mark-up Disclosure
Reasonable Diligence for Private Placements
Abuse of Authority
SEC Approves Proposed Rule Filing SR-FINRA-2011-063 related to Information Barrier ID, Customer Instruction Flag and the OATS Reporting Deadline.
Statistical Overview of Brokerage Firms, Registered Individuals and Trading Activity
WASHINGTON—FINRA today published the FINRA Industry Snapshot 2018, its first annual statistical report on the brokerage firms, registered individuals and market activity that FINRA regulates.
The publication includes data ranging from the size and geographic distribution of the firms FINRA regulates to the
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement