Are you over 18 and want to see adult content?
More Annotations
A complete backup of www.www.petticoated.com
Are you over 18 and want to see adult content?
A complete backup of www.www.millionairematch.com
Are you over 18 and want to see adult content?
A complete backup of fluffychicks.net
Are you over 18 and want to see adult content?
A complete backup of www.tastyblacks.com
Are you over 18 and want to see adult content?
A complete backup of www.www.enature.tv
Are you over 18 and want to see adult content?
A complete backup of www.www.abcoeur.com
Are you over 18 and want to see adult content?
A complete backup of beautifulagony.com
Are you over 18 and want to see adult content?
A complete backup of www.www.imagefap.com
Are you over 18 and want to see adult content?
A complete backup of www.www.yournnpic.com
Are you over 18 and want to see adult content?
Favourite Annotations
A complete backup of boardgameviet.vn
Are you over 18 and want to see adult content?
A complete backup of blackberrysmoke.com
Are you over 18 and want to see adult content?
A complete backup of dallasecodev.org
Are you over 18 and want to see adult content?
A complete backup of ithacacityschools.org
Are you over 18 and want to see adult content?
A complete backup of expresskerala.com
Are you over 18 and want to see adult content?
Text
regulatory topics.
BROKERCHECK
BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both. BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrationsand complaints.
DISCOVERY GUIDE
Discovery Guide (2007) - For claims filed on or after April 16, 2007 and before May 16, 2011 (PDF 41 KB) The Document Production Lists in the Discovery Guide as described in FINRA Rule 12506 do not apply to simplified arbitrations decided on the papers or decided by special proceeding. However, the Discovery Guide does apply to simplifiedcases
DR PORTAL | FINRA.ORG Contact. Arbitrators and mediators with portal questions may contact the department of Neutral Management or (855) 209-1620 or (212) 858-3999. Arbitrators and mediators with case questions should continue to contact their regional offices. If you experience any difficulties logging into the DR Portal, please contact the FINRAGateway Call
OFAC
FINRA is pleased to offer an automated method of searching the U.S. Treasury's Office of Foreign Asset Control's (OFAC) Sanctions Program Listings. OFAC regulations prohibit transactions with certain persons and organizations listed on the OFAC website as "Terrorists" and "Specially Designated Nationals and Blocked Persons," as well as listed embargoed countries and regions. 2030. ENGAGING IN DISTRIBUTION AND SOLICITATION ACTIVITIES (a) Limitation on Distribution and Solicitation Activities No covered member shall engage in distribution or solicitation activities for compensation with a government entity on behalf of an investment adviser that provides or is seeking to provide investment advisory services to such government entity within two years after a contribution to an official of the government entity is made by theBROKERCHECK
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors. FINRA.ORG - A VIBRANT MARKET IS AT ITS BEST WHEN IT WORKSBROKERCHECKINVESTORSABOUT FINRARULES & GUIDANCEREGISTRATION, EXAMS & CEEVENTS & TRAINING FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers. We are a not FINANCIAL PROFESSIONAL GATEWAY (FINPRO) Manage Your Securities Registration Info FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information. FINRA PUBLISHES 2021 REPORT ON FINRA’S EXAMINATION AND Report Combines and Replaces Annual Exam and Risk Monitoring Findings Report, Priorities Letter Washington, D.C. – FINRA today published the 2021 Report on FINRA’s Examination and Risk Monitoring Program to inform member firms’ compliance programs by providing annual insights from FINRA’s Examinations and Risk Monitoring programs. 2021 FINRA ANNUAL CONFERENCE FINRA's premier event — This year we are bringing the conference to you. The 2021 FINRA Annual Conference will be held entirely online. This virtual conference provides the opportunity for practitioners, peers and regulators to exchange ideas on timely compliance andregulatory topics.
BROKERCHECK
BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both. BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrationsand complaints.
DISCOVERY GUIDE
Discovery Guide (2007) - For claims filed on or after April 16, 2007 and before May 16, 2011 (PDF 41 KB) The Document Production Lists in the Discovery Guide as described in FINRA Rule 12506 do not apply to simplified arbitrations decided on the papers or decided by special proceeding. However, the Discovery Guide does apply to simplifiedcases
DR PORTAL | FINRA.ORG Contact. Arbitrators and mediators with portal questions may contact the department of Neutral Management or (855) 209-1620 or (212) 858-3999. Arbitrators and mediators with case questions should continue to contact their regional offices. If you experience any difficulties logging into the DR Portal, please contact the FINRAGateway Call
OFAC
FINRA is pleased to offer an automated method of searching the U.S. Treasury's Office of Foreign Asset Control's (OFAC) Sanctions Program Listings. OFAC regulations prohibit transactions with certain persons and organizations listed on the OFAC website as "Terrorists" and "Specially Designated Nationals and Blocked Persons," as well as listed embargoed countries and regions. 2030. ENGAGING IN DISTRIBUTION AND SOLICITATION ACTIVITIES (a) Limitation on Distribution and Solicitation Activities No covered member shall engage in distribution or solicitation activities for compensation with a government entity on behalf of an investment adviser that provides or is seeking to provide investment advisory services to such government entity within two years after a contribution to an official of the government entity is made by theBROKERCHECK
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.FIRMS WE REGULATE
Firms We Regulate. FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both. A Capital Acquisition Broker is a Broker Dealer subject to a narrower rule book.SCHEDULE AN EXAM
How to Schedule an Appointment to Take an Exam at a Local Test Center. Please ensure that the candidate has an open enrollment window. An appointment can be scheduled at a test center either through Prometric's scheduling page or by calling their Contact Center toll free at (800) 578-6273 during core hours including Monday through Friday 8 a.m. – 8 p.m. Eastern Time and Saturday throughSR-FINRA-2021-016
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2165 (Financial Exploitation of Specified Adults) to permit member firms to: (1) extend a temporary hold on aBONDS | FINRA.ORG
A bond is a loan an investor makes to a corporation, government, federal agency or other organization in exchange for interest payments over a specified term plus repayment of principal at the bond’s maturity date. There are a wide variety of bonds including Treasuries, agency bonds, corporate bonds, municipal bonds and more. Likewise there are many types of bond mutual funds. OTC BULLETIN BOARD (OTCBB) The OTC Bulletin Board (or OTCBB) is an interdealer quotation system that is used by FINRA members to make known to others their interest in transactions in any OTCBB eligible securities (as defined by FINRA Rule 6530), including offers to buy or sell at a stated price or JUSTIN DUTY COMMENT ON REGULATORY NOTICE 21-19 It is necessary that there be confirmation when positions are closed. It is currently way too easy for holders of short positions to kick the can and hope the company that is the focus of the short goes bankrupt. You need to start supporting the action of jailing those that are responsible. Fines are nothing but a cost of doing business and everyone knows it. THE DELO COMMENT ON REGULATORY NOTICE 21-19 There is a lot covered here, it is obvious that some steps toward better transparency are at work. The simple fact of the matter is that there systemic issues with the creation of shares to borrow based on future volumes, failures to deliver, and shorting in general. While appreciated, and needed, the solutions to these do not lie in the resolution of transparency alone. JOSH BLANCHARD COMMENT ON REGULATORY NOTICE 21-19 How are we (the public retail) supposed to believe any information reported is accurate, when fines for breaking any rules take years to resolve and are minuscule when compared to the money that is being made off of defrauding the little guy? When the people lying are friends with the people who are supposed to keep them in check, all it takes is a little kick back to make it all go away. AMY W COMMENT ON REGULATORY NOTICE 21-19 Hello, I wholeheartedly support FINRA's step toward a slightly more transparent system. FINRA requests comment on whether FINRA should publish on the FINRA website short interest data for all equity securities (listed and unlisted). • Yes, absolutely all short interest data should be published. FINRA requests comment on whether the potential short interest enhancements discussed above would TODD HILL COMMENT ON REGULATORY NOTICE 21-19 Short selling, when done ethically for the right reasons, provides an important market balance. However, it is obvious given events of the last several months that some entities are engaged in naked short selling and market manipulation. Because of the current lack of oversight, lack of detailed reporting, and the other obvious problems those entities are causing massive chaos. FINRA.ORG - A VIBRANT MARKET IS AT ITS BEST WHEN IT WORKSBROKERCHECKINVESTORSABOUT FINRARULES & GUIDANCEREGISTRATION, EXAMS & CEEVENTS & TRAINING FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers. We are a not FINANCIAL PROFESSIONAL GATEWAY (FINPRO) Manage Your Securities Registration Info FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information. FINRA PUBLISHES 2021 REPORT ON FINRA’S EXAMINATION AND Report Combines and Replaces Annual Exam and Risk Monitoring Findings Report, Priorities Letter Washington, D.C. – FINRA today published the 2021 Report on FINRA’s Examination and Risk Monitoring Program to inform member firms’ compliance programs by providing annual insights from FINRA’s Examinations and Risk Monitoring programs. 2021 FINRA ANNUAL CONFERENCE FINRA's premier event — This year we are bringing the conference to you. The 2021 FINRA Annual Conference will be held entirely online. This virtual conference provides the opportunity for practitioners, peers and regulators to exchange ideas on timely compliance andregulatory topics.
BROKERCHECK
BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both. BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrationsand complaints.
DISCOVERY GUIDE
Discovery Guide (2007) - For claims filed on or after April 16, 2007 and before May 16, 2011 (PDF 41 KB) The Document Production Lists in the Discovery Guide as described in FINRA Rule 12506 do not apply to simplified arbitrations decided on the papers or decided by special proceeding. However, the Discovery Guide does apply to simplifiedcases
DR PORTAL | FINRA.ORG Contact. Arbitrators and mediators with portal questions may contact the department of Neutral Management or (855) 209-1620 or (212) 858-3999. Arbitrators and mediators with case questions should continue to contact their regional offices. If you experience any difficulties logging into the DR Portal, please contact the FINRAGateway Call
OFAC
FINRA is pleased to offer an automated method of searching the U.S. Treasury's Office of Foreign Asset Control's (OFAC) Sanctions Program Listings. OFAC regulations prohibit transactions with certain persons and organizations listed on the OFAC website as "Terrorists" and "Specially Designated Nationals and Blocked Persons," as well as listed embargoed countries and regions. 2030. ENGAGING IN DISTRIBUTION AND SOLICITATION ACTIVITIES (a) Limitation on Distribution and Solicitation Activities No covered member shall engage in distribution or solicitation activities for compensation with a government entity on behalf of an investment adviser that provides or is seeking to provide investment advisory services to such government entity within two years after a contribution to an official of the government entity is made by theBROKERCHECK
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors. FINRA.ORG - A VIBRANT MARKET IS AT ITS BEST WHEN IT WORKSBROKERCHECKINVESTORSABOUT FINRARULES & GUIDANCEREGISTRATION, EXAMS & CEEVENTS & TRAINING FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers. We are a not FINANCIAL PROFESSIONAL GATEWAY (FINPRO) Manage Your Securities Registration Info FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information. FINRA PUBLISHES 2021 REPORT ON FINRA’S EXAMINATION AND Report Combines and Replaces Annual Exam and Risk Monitoring Findings Report, Priorities Letter Washington, D.C. – FINRA today published the 2021 Report on FINRA’s Examination and Risk Monitoring Program to inform member firms’ compliance programs by providing annual insights from FINRA’s Examinations and Risk Monitoring programs. 2021 FINRA ANNUAL CONFERENCE FINRA's premier event — This year we are bringing the conference to you. The 2021 FINRA Annual Conference will be held entirely online. This virtual conference provides the opportunity for practitioners, peers and regulators to exchange ideas on timely compliance andregulatory topics.
BROKERCHECK
BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both. BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrationsand complaints.
DISCOVERY GUIDE
Discovery Guide (2007) - For claims filed on or after April 16, 2007 and before May 16, 2011 (PDF 41 KB) The Document Production Lists in the Discovery Guide as described in FINRA Rule 12506 do not apply to simplified arbitrations decided on the papers or decided by special proceeding. However, the Discovery Guide does apply to simplifiedcases
DR PORTAL | FINRA.ORG Contact. Arbitrators and mediators with portal questions may contact the department of Neutral Management or (855) 209-1620 or (212) 858-3999. Arbitrators and mediators with case questions should continue to contact their regional offices. If you experience any difficulties logging into the DR Portal, please contact the FINRAGateway Call
OFAC
FINRA is pleased to offer an automated method of searching the U.S. Treasury's Office of Foreign Asset Control's (OFAC) Sanctions Program Listings. OFAC regulations prohibit transactions with certain persons and organizations listed on the OFAC website as "Terrorists" and "Specially Designated Nationals and Blocked Persons," as well as listed embargoed countries and regions. 2030. ENGAGING IN DISTRIBUTION AND SOLICITATION ACTIVITIES (a) Limitation on Distribution and Solicitation Activities No covered member shall engage in distribution or solicitation activities for compensation with a government entity on behalf of an investment adviser that provides or is seeking to provide investment advisory services to such government entity within two years after a contribution to an official of the government entity is made by theBROKERCHECK
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors. FINRA PUBLISHES 2021 REPORT ON FINRA’S EXAMINATION AND Report Combines and Replaces Annual Exam and Risk Monitoring Findings Report, Priorities Letter Washington, D.C. – FINRA today published the 2021 Report on FINRA’s Examination and Risk Monitoring Program to inform member firms’ compliance programs by providing annual insights from FINRA’s Examinations and Risk Monitoring programs. WHAT’S NEW WITH THE FINRA FUND ANALYZER Duplicate Fund Analysis: Users can now analyze the same fund multiple ways via the new "Duplicate" function. You can now evaluate fund values, costs, and other factors for the same fund configured in a variety of ways. See the Types of Calculations Available in the Fund Analyzer guide for moreFIRMS WE REGULATE
Firms We Regulate. FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both. A Capital Acquisition Broker is a Broker Dealer subject to a narrower rule book. 2021 REPORT ON FINRA’S EXAMINATION AND RISK MONITORING This Report on FINRA’s Risk Monitoring and Examination Activities (the Report) is designed to inform member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations. For selected regulatory obligations, the Report: (1) identifies the applicable rule and key related considerations for member firm compliance programs, (2) summarizes noteworthy ARBITRATION AWARDS ONLINE FINRA's Arbitration Awards database enables users to perform Web-based searches for FINRA and historical NASD arbitration awards free of charge, seven days a week. Also available through the site are historical awards for New York Stock Exchange, the American Stock Exchange, the Philadelphia Stock Exchange, and the Municipal Securities Rulemaking Board. OTC BULLETIN BOARD (OTCBB) The OTC Bulletin Board (or OTCBB) is an interdealer quotation system that is used by FINRA members to make known to others their interest in transactions in any OTCBB eligible securities (as defined by FINRA Rule 6530), including offers to buy or sell at a stated price or THE DELO COMMENT ON REGULATORY NOTICE 21-19 There is a lot covered here, it is obvious that some steps toward better transparency are at work. The simple fact of the matter is that there systemic issues with the creation of shares to borrow based on future volumes, failures to deliver, and shorting in general. While appreciated, and needed, the solutions to these do not lie in the resolution of transparency alone. JUSTIN DUTY COMMENT ON REGULATORY NOTICE 21-19 It is necessary that there be confirmation when positions are closed. It is currently way too easy for holders of short positions to kick the can and hope the company that is the focus of the short goes bankrupt. You need to start supporting the action of jailing those that are responsible. Fines are nothing but a cost of doing business and everyone knows it. EXAM CANDIDATES REQUIRING TESTING ACCOMMODATIONS FINRA in compliance with the provisions of the Americans with Disabilities Act (ADA) provides testing modifications and aids to candidates with disabilities and/or learning impairments that substantially limit a major life activity (e.g., learning, speaking,hearing, vision).
AMY W COMMENT ON REGULATORY NOTICE 21-19 Hello, I wholeheartedly support FINRA's step toward a slightly more transparent system. FINRA requests comment on whether FINRA should publish on the FINRA website short interest data for all equity securities (listed and unlisted). • Yes, absolutely all short interest data should be published. FINRA requests comment on whether the potential short interest enhancements discussed above would FINRA.ORG - A VIBRANT MARKET IS AT ITS BEST WHEN IT WORKSBROKERCHECKINVESTORSABOUT FINRARULES & GUIDANCEREGISTRATION, EXAMS & CEEVENTS & TRAINING FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers. We are a not FINRA PUBLISHES 2021 REPORT ON FINRA’S EXAMINATION AND Report Combines and Replaces Annual Exam and Risk Monitoring Findings Report, Priorities Letter Washington, D.C. – FINRA today published the 2021 Report on FINRA’s Examination and Risk Monitoring Program to inform member firms’ compliance programs by providing annual insights from FINRA’s Examinations and Risk Monitoring programs. FINANCIAL PROFESSIONAL GATEWAY (FINPRO) Manage Your Securities Registration Info FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.BROKERCHECK
BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both. BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrationsand complaints.
DR PORTAL | FINRA.ORG Contact. Arbitrators and mediators with portal questions may contact the department of Neutral Management or (855) 209-1620 or (212) 858-3999. Arbitrators and mediators with case questions should continue to contact their regional offices. If you experience any difficulties logging into the DR Portal, please contact the FINRAGateway Call
DISCOVERY GUIDE
Discovery Guide (2007) - For claims filed on or after April 16, 2007 and before May 16, 2011 (PDF 41 KB) The Document Production Lists in the Discovery Guide as described in FINRA Rule 12506 do not apply to simplified arbitrations decided on the papers or decided by special proceeding. However, the Discovery Guide does apply to simplifiedcases
2040. PAYMENTS TO UNREGISTERED PERSONS 2040. Payments to Unregistered Persons. The Rule Notices Guidance News Releases FAQs. (a) General. No member or associated person shall, directly or indirectly, pay any compensation, fees, concessions, discounts, commissions or other allowances to: (1) any person that is not registered as a broker-dealer under Section 15 (a) of the ExchangeAct
13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY … 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES. The Industry Code applies to claims filed on or after April 16, 2007. In addition, the list selection provisions of the Industry Code apply to previously filed claims in which a list of arbitrators must be generated after April 16, 2007; in these cases, however, the claimwill continue
OFAC
FINRA is pleased to offer an automated method of searching the U.S. Treasury's Office of Foreign Asset Control's (OFAC) Sanctions Program Listings. OFAC regulations prohibit transactions with certain persons and organizations listed on the OFAC website as "Terrorists" and "Specially Designated Nationals and Blocked Persons," as well as listed embargoed countries and regions.BROKERCHECK
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors. FINRA.ORG - A VIBRANT MARKET IS AT ITS BEST WHEN IT WORKSBROKERCHECKINVESTORSABOUT FINRARULES & GUIDANCEREGISTRATION, EXAMS & CEEVENTS & TRAINING FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers. We are a not FINRA PUBLISHES 2021 REPORT ON FINRA’S EXAMINATION AND Report Combines and Replaces Annual Exam and Risk Monitoring Findings Report, Priorities Letter Washington, D.C. – FINRA today published the 2021 Report on FINRA’s Examination and Risk Monitoring Program to inform member firms’ compliance programs by providing annual insights from FINRA’s Examinations and Risk Monitoring programs. FINANCIAL PROFESSIONAL GATEWAY (FINPRO) Manage Your Securities Registration Info FINRA’s Financial Professional Gateway (FinPro) provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information.BROKERCHECK
BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both. BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrationsand complaints.
DR PORTAL | FINRA.ORG Contact. Arbitrators and mediators with portal questions may contact the department of Neutral Management or (855) 209-1620 or (212) 858-3999. Arbitrators and mediators with case questions should continue to contact their regional offices. If you experience any difficulties logging into the DR Portal, please contact the FINRAGateway Call
DISCOVERY GUIDE
Discovery Guide (2007) - For claims filed on or after April 16, 2007 and before May 16, 2011 (PDF 41 KB) The Document Production Lists in the Discovery Guide as described in FINRA Rule 12506 do not apply to simplified arbitrations decided on the papers or decided by special proceeding. However, the Discovery Guide does apply to simplifiedcases
2040. PAYMENTS TO UNREGISTERED PERSONS 2040. Payments to Unregistered Persons. The Rule Notices Guidance News Releases FAQs. (a) General. No member or associated person shall, directly or indirectly, pay any compensation, fees, concessions, discounts, commissions or other allowances to: (1) any person that is not registered as a broker-dealer under Section 15 (a) of the ExchangeAct
13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY … 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES. The Industry Code applies to claims filed on or after April 16, 2007. In addition, the list selection provisions of the Industry Code apply to previously filed claims in which a list of arbitrators must be generated after April 16, 2007; in these cases, however, the claimwill continue
OFAC
FINRA is pleased to offer an automated method of searching the U.S. Treasury's Office of Foreign Asset Control's (OFAC) Sanctions Program Listings. OFAC regulations prohibit transactions with certain persons and organizations listed on the OFAC website as "Terrorists" and "Specially Designated Nationals and Blocked Persons," as well as listed embargoed countries and regions.BROKERCHECK
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.SCHEDULE AN EXAM
How to Schedule an Appointment to Take an Exam at a Local Test Center. Please ensure that the candidate has an open enrollment window. An appointment can be scheduled at a test center either through Prometric's scheduling page or by calling their Contact Center toll free at (800) 578-6273 during core hours including Monday through Friday 8 a.m. – 8 p.m. Eastern Time and Saturday through 2021 FINRA ANNUAL CONFERENCE FINRA's premier event — This year we are bringing the conference to you. The 2021 FINRA Annual Conference will be held entirely online. This virtual conference provides the opportunity for practitioners, peers and regulators to exchange ideas on timely compliance andregulatory topics.
CENTRAL REGISTRATION DEPOSITORY (CRD) FINRA is responsible for the Central Registration Depository (CRD®) program, which supports the licensing and registration filing requirements of the U.S. securities industry and its regulators. The CRD program covers the registration records of broker-dealer firms, branch offices and their associated individuals, including their qualification, employment and disclosure histories; it alsoCAREERS | FINRA.ORG
As a FINRA employee, you join a diverse and talented team of industry leaders who make sure investors are protected and the market is trusted. Discover your opportunity to oversee more than 634,000 brokers across the country, analyze billions of daily market events, use innovative AI and machine learning technologies, and drive our award-winning diversity initiatives forward, and beyond. REGULATORY NOTICE 21-19 Summary FINRA is requesting comment on potential enhancements to its short sale reporting program. FINRA is considering: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential ANONYMOUS COMMENT ON REGULATORY NOTICE 21-19 The proposed amendment to FINRA 4560 is a laughable attempt at improving naked short selling internal control measures, actual regulatory action, or really any kind of further obligation on the part of the involved broker-dealers. There have been hundreds if not thousands of regulatory "actions NICOLAS BENHAM COMMENT ON REGULATORY NOTICE 21-19 Simplistic answer. Get all the information and in the shortest time frames, ex: in t+1. Consumers make purchases/sales for products based on reviews and the history of reviews. Why would a security be any different? You wouldn't want to transact anything if you had only a small % of information and come to find out 35 days later that the place you transacted with isn't dealing with its legal PHILLIP WORTS COMMENT ON REGULATORY NOTICE 21-19 Every share should be tracked with unique identifier. Every share should be located and lent only once. Every order should be delivered T+2 or fails mean 10x cost penalty. Every short position should be updated with FINRA daily. LANA MOSLEY COMMENT ON REGULATORY NOTICE 21-19 Creating synthetic shares is the same as counterfeiting. Put some teeth in your fines. Right now, the fines are so small, it's just a cost of doing business to these big companies. Do better at investigating naked shorting and up the fines. All shorting, no matter what exchange, should be reported and made public. Get rid of dark pools. And for pete's sake, it's 2021. JENNIFER SMITH COMMENT ON REGULATORY NOTICE 21-19 While these increased reporting requirements around the currently broadly abused short selling practices in the stock market (including naked shorting, mis-reporting longs as shorts, re-hypothecated shares, married puts/calls, and fails to deliver) are a step in the right direction, the proposed changes do not go far enough to provide transparency and fairness to the public. Skip to main content For updates and guidance related to COVID-19 / Coronavirus, click here.
__
Fulltext search Type 2017 Exam Findings Report2018 Exam Findings Report2019 Exam Findings ReportA Few Minutes With FINRAAbout FINRAAnnouncementAnnual Regulatory and Examination Priorities LettersArbitration and MediationBlog PostBoard of Governors MeetingCapital Market InsightsCareersCommunications to FirmsCompliance ToolsConference CallContent HubContent OutlineContinuing EducationDisciplinary Action ReportElection NoticeEmail to FirmsEvents & TrainingExemptive LetterFAQFiling and ReportingFinancial ReportsFINRA's Financial Guiding PrinciplesFINRA360 Progress ReportFormFrom Small Firm Advisory Board (SFAB)Get InvolvedGuidanceHide From What's NewInformation NoticeInterpretive LetterInvestor AlertInvestor EducationInvestor HighlightsInvestor InsightsInvestor ResourcesKey TopicManage Your CareerMarket IntegrityMarket SafetyMonthly Disciplinary ActionsNeutral CornerNews ReleaseNoticeNotice to MembersOversight & EnforcementPodcastPublicationQualification ExamQuarterly Disciplinary ReviewRegistrationRegulation and ComplianceRegulatory and Compliance Alerts (RCA)Regulatory NoticeReport / StudyReport CardRequest for CommentResponsible CitizenshipRuleRule FilingSpecial NoticeSpeech / TestimonyTargeted Examination LetterTechnical DocumentationTechnical NoticeThe Alert InvestorTrade Reporting NoticeTrainingUser GuideVideoWebinar Topic 401(k)403(b)457529 Prepaid Tuition Plans529 Savings PlansAccounts At Other Broker Dealers and Financial InstitutionsAdvertising RegulationAgency BondsAlgorithmic TradingAlternative and Complex ProductsAlternative Display Facility (ADF)Annual AuditAnti-Money LaunderingArbitration and MediationAsset Backed SecuritiesAuction Rate SecuritiesBack testingBank ProductsBest ExecutionBest PracticesBlock Chain / Distributed Ledger TechnologyBlue SheetsBond FundsBond Mutual Fund Volatility/Risk RatingBondsBooks and RecordsBranch OfficesBreakpointsBroker Dealer RegistrationBroker MigrationBroker-Dealer Recruitment DisclosuresBrokerageBrokerCheckBusiness CardsBusiness Continuity PlanningBusiness Development Company (BDC)Capital Acquisition BrokersCapital FormationCarrying AgreementsCash EquivalentsCatastrophe BondsCentral Registration Depository (CRD)Certificates of Deposit (CDs)Collateralized Mortgage Obligations (CMOs)College Savings PlansCommodities and FuturesCommunications with the PublicCompensationCompliance ResourcesComprehensive Automated Risk Data System (CARDS)Conflicts of InterestConsolidated Audit Trail (CAT)Consolidated ReportsContinuing EducationContinuing Membership ApplicationsContinuing Membership ApplicationsCorporate BondsCorporate FinancingCorrespondenceCorrespondenceCoverdell Education Saving Accounts (ESAs)COVID-19 / CoronavirusCredit for CooperationCustodial Accounts (UGMA and UTMA)Customer Account StatementsCustomer Account TransfersCustomer Information ProtectionCustomer OrdersCybersecurityDay TradingDeferred AnnuitiesDepartment of LaborDerivatives and Other Balance Sheet Items (OBS)Digital Experience Transformation (DXT)Direct Participation Programs (DPPs)E-BillEducationEFocusElectronic CommunicationsElectronic Filing RequirementsElectronic Fingerprint ProcessingElectronic Fingerprint Submission (EFS)EnforcementEnforcement ProcessEngagementEquitiesEquity-Indexed AnnuitiesEssentials ExamEvent Linked BondsExam RestructuringExamsExchange Traded Funds (ETFs)Expense RatioExpertiseFee DisclosureFeesFiling RequirementsFinancial and Operational Rules, Interpretations ofFinancial ResponsibilityFinancial Stress TestFingerprintsFINRA FoundationFINRA LogoFINRA Membership/NameFINRA360FinTechFirm Examination ProgramFixed AnnuitiesFixed IncomeForeign Exchange TradingFree Writing ProspectusFunding and LiquidityFunding Portal RegistrationFunding PortalsFundsGASB Accounts Support FeeGeneration XGhost-writingGifts and GratuitiesGovernmental Accounting Standards Board (GASB)Hedge FundsHigh Risk BrokersHigh Yield BondsHigh Yield SecuritiesHome Equity Funded InvestmentsHyperlinksIlliquid InvestmentsIndications of InterestIndividual RegistrationIndividual Retirement Accounts (IRAs)InexperiencedInformation and Testimony RequestsInitial Public Offering (IPO)InnovationINSITEInstitutional CommunicationsInsuranceInternational and Emerging Market BondsInvestment Analysis ToolsInvestment ProductsInvestorsJunk BondsLetterheadLife SettlementsLimit OrderLinking to BrokerCheckMargin AccountsMargin Risk DisclosureMark-ups / Mark-DownsMarket AccessMarket OrderMarket RegulationMarket TransparancyMateriality Consultation ProcessMember Application ProgramMergers Acquisitions and Business TransfersMilitaryMilitary SpousesMillennialsMoney Market SecuritiesMortgage Backed SecuritiesMortgagesMunicipal Advisor RegulationMunicipal Fund SecuritiesMunicipal SecuritiesMutual FundsNational Adjudicatory Council (NAC)National Do-Not-Call RegistryNational Market System PlansNear RetirementNegative Response LettersNet CapitalNew Account ProcessNew Firm CommunicationsNew InvestorNon-cash CompensationOffice of Fraud Detection and Market IntelligenceOffice of Hearing Officers (OHO)Office of the Chief EconomistOffice of the General CounselOffice of the WhistleblowerOperationsOptionsOptions Exchange FilingsOrder Audit Trail System (OATS)Order HandlingOTC (ATS & Non-ATS) TransparencyOTC Bulletin Board (OTCBB)Over-the-Counter Reporting Facility (ORF)OversightPenny StocksPre-investorPreferred SecuritiesPrincipal ApprovalPrincipal Protected NotesPrivate PlacementsProduct VettingProfessional DesignationsProjectionsPromissory NotesProprietary TradingPublic Disclosure ProgramPublic non-traded REITSPublic OfferingsQualification ExamsRankingsReal Estate Investment TrustsRegistered Investment Advisers (RIA)Registration and Disclosure (RAD)Regulation A OfferingsRegulation Best Interest (REG BI)Regulation D OfferingsRegulation MRegulation M FilingsRegulation NMSRelated PerformanceRenewal ProgramReportingReprintsResearch Analyst RulesResearch DisclosuresResearch ReportsRetirement Savings PlansRetrospective Rule ReviewReverse Convertible Notes (RCN)Risk ManagementRule 4530 Reporting RequirementsSales PracticesSanction GuidelinesSavings AccountsSecurities Investor Protection Corporation - SIPCSecurity FuturesSEC’s July 2013 Financial Responsibility Rule AmendmentsSenior DesignationsSenior InvestorsShareholder ReportsShort Interest ReportingShort SellingSocial MediaStatutory DisqualificationStocksStructured ProductsSubordination AgreementsSuitabilitySupervisionSupplemental Statement of Income (SSOI)TechnologyTeensTelemarketingTelevision and VideoTemplatesTenants-in-Common InterestsThird Party ResearchThrift savings plan (TSP)Tick Size Pilot ProgramTrade Reporting and Compliance Engine (TRACE)Trade Reporting Facility (TRF)Trading Activity FeeTreasury BillsTreasury BondsTreasury Inflation Protected Securities (TIPS)Treasury NotesU.S. Treasury SecuritiesUniform Practice Code (UPC)Update a Firm's RegistrationVariable AnnuitiesVariable LifeVariable Life Insurance ProductsVIX-Linked Products (Volatility Index)Women Year 202120202019201820172016201520142013201220112010200920082007200620052004200320022001200019991998199719961995199419931992199119901989198819871969FINRA UTILITY MENU
* About FINRA
* Careers
* Media Center
* Contact Us
* BrokerCheck
Log In
* Firm Gateway
* Financial Professional Gateway (FINPRO) * Dispute Resolution Portal * Uniform Practice Code* Other Systems
Request Access
| About Account Creation Need Help? Contact FINRA at 301-590-6500.* Rules & Guidance
*
*
R&G section 1
* FINRA Manual
* Updates
* Interpreting the Rules* Notices
* Guidance
* Frequently Asked Questions* Key Topics
* Interpretive Questions*
R&G section 2
* The Rulemaking Process* Rule Filings
* Rule Filing Status Report * Requests for Comments * Rulebook Consolidation * Adjudication & Decisions * National Adjudicatory Council (NAC) * Office of Hearing Officers (OHO)*
R&G section 3
* Enforcing the Rules * Disciplinary Actions Online * Monthly Disciplinary Actions * Sanction Guidelines * Individuals Barred by FINRA * Registration, Exams & CE*
*
Registration section 1* Registration
* Broker Dealers
* Capital Acquisition Brokers* Funding Portals
* Individuals
*
Registration section 2 * Qualification Exams * Securities Industry Essentials Exam (SIE)* Series 7
* All
*
Registration section 3 * Continuing Education (CE) * Registration Systems* Classic CRD
* New CRD
* Financial Professional Gateway (FINPRO) * Financial Industry Networking Directory (FIND)* Events & Training
*
* Conferences & Events * FINRA Institute at Georgetown* E-Learning
* Webinars
* Filing & Reporting*
* Entitlement Program * Market Transparency Reporting Tools * Regulatory Filing Systems * Data Transfer Tools* E-Bill
* Compliance Tools
*
* Cybersecurity Checklist * Compliance Calendar * Weekly Update Email Archive * Peer-2-Peer Compliance Library * Preferred Pricing Program * Compliance Vendor Directory* All
* For Investors
*
*
For Investors section 1* Investor Insights
* Tools & Calculators* Personal Finance
* Financial Goals
* Net Worth
* Spending
* Debt
* Credit Scores
* Emergency Funds
*
For Investors section 2* Learn to Invest
* Choosing a Professional * Types of Investments * Key Investing Concepts * Brokerage Accounts * Advanced Investing * Young Adults and Investing * Protect Your Money* Investor Alerts
* Ask and Check
* Avoid Fraud
* Protect Your Identity*
For Investors section 3* Have a Problem?
* File a Complaint
* FINRA Securities Helpline for Seniors * Dispute Resolution * Payments for Harmed Investors* SIPC Protection
* Avenues for Recovery of Losses__
A VIBRANT MARKET IS AT ITS BEST WHEN IT WORKS FOR EVERYONE. FINRA PROVIDES CONFIDENCE TO PARTICIPATE BY SAFEGUARDING MARKETINTEGRITY.
Fulltext search Type 2017 Exam Findings Report2018 Exam Findings Report2019 Exam Findings ReportA Few Minutes With FINRAAbout FINRAAnnouncementAnnual Regulatory and Examination Priorities LettersArbitration and MediationBlog PostBoard of Governors MeetingCapital Market InsightsCareersCommunications to FirmsCompliance ToolsConference CallContent HubContent OutlineContinuing EducationDisciplinary Action ReportElection NoticeEmail to FirmsEvents & TrainingExemptive LetterFAQFiling and ReportingFinancial ReportsFINRA's Financial Guiding PrinciplesFINRA360 Progress ReportFormFrom Small Firm Advisory Board (SFAB)Get InvolvedGuidanceHide From What's NewInformation NoticeInterpretive LetterInvestor AlertInvestor EducationInvestor HighlightsInvestor InsightsInvestor ResourcesKey TopicManage Your CareerMarket IntegrityMarket SafetyMonthly Disciplinary ActionsNeutral CornerNews ReleaseNoticeNotice to MembersOversight & EnforcementPodcastPublicationQualification ExamQuarterly Disciplinary ReviewRegistrationRegulation and ComplianceRegulatory and Compliance Alerts (RCA)Regulatory NoticeReport / StudyReport CardRequest for CommentResponsible CitizenshipRuleRule FilingSpecial NoticeSpeech / TestimonyTargeted Examination LetterTechnical DocumentationTechnical NoticeThe Alert InvestorTrade Reporting NoticeTrainingUser GuideVideoWebinar Topic 401(k)403(b)457529 Prepaid Tuition Plans529 Savings PlansAccounts At Other Broker Dealers and Financial InstitutionsAdvertising RegulationAgency BondsAlgorithmic TradingAlternative and Complex ProductsAlternative Display Facility (ADF)Annual AuditAnti-Money LaunderingArbitration and MediationAsset Backed SecuritiesAuction Rate SecuritiesBack testingBank ProductsBest ExecutionBest PracticesBlock Chain / Distributed Ledger TechnologyBlue SheetsBond FundsBond Mutual Fund Volatility/Risk RatingBondsBooks and RecordsBranch OfficesBreakpointsBroker Dealer RegistrationBroker MigrationBroker-Dealer Recruitment DisclosuresBrokerageBrokerCheckBusiness CardsBusiness Continuity PlanningBusiness Development Company (BDC)Capital Acquisition BrokersCapital FormationCarrying AgreementsCash EquivalentsCatastrophe BondsCentral Registration Depository (CRD)Certificates of Deposit (CDs)Collateralized Mortgage Obligations (CMOs)College Savings PlansCommodities and FuturesCommunications with the PublicCompensationCompliance ResourcesComprehensive Automated Risk Data System (CARDS)Conflicts of InterestConsolidated Audit Trail (CAT)Consolidated ReportsContinuing EducationContinuing Membership ApplicationsContinuing Membership ApplicationsCorporate BondsCorporate FinancingCorrespondenceCorrespondenceCoverdell Education Saving Accounts (ESAs)COVID-19 / CoronavirusCredit for CooperationCustodial Accounts (UGMA and UTMA)Customer Account StatementsCustomer Account TransfersCustomer Information ProtectionCustomer OrdersCybersecurityDay TradingDeferred AnnuitiesDepartment of LaborDerivatives and Other Balance Sheet Items (OBS)Digital Experience Transformation (DXT)Direct Participation Programs (DPPs)E-BillEducationEFocusElectronic CommunicationsElectronic Filing RequirementsElectronic Fingerprint ProcessingElectronic Fingerprint Submission (EFS)EnforcementEnforcement ProcessEngagementEquitiesEquity-Indexed AnnuitiesEssentials ExamEvent Linked BondsExam RestructuringExamsExchange Traded Funds (ETFs)Expense RatioExpertiseFee DisclosureFeesFiling RequirementsFinancial and Operational Rules, Interpretations ofFinancial ResponsibilityFinancial Stress TestFingerprintsFINRA FoundationFINRA LogoFINRA Membership/NameFINRA360FinTechFirm Examination ProgramFixed AnnuitiesFixed IncomeForeign Exchange TradingFree Writing ProspectusFunding and LiquidityFunding Portal RegistrationFunding PortalsFundsGASB Accounts Support FeeGeneration XGhost-writingGifts and GratuitiesGovernmental Accounting Standards Board (GASB)Hedge FundsHigh Risk BrokersHigh Yield BondsHigh Yield SecuritiesHome Equity Funded InvestmentsHyperlinksIlliquid InvestmentsIndications of InterestIndividual RegistrationIndividual Retirement Accounts (IRAs)InexperiencedInformation and Testimony RequestsInitial Public Offering (IPO)InnovationINSITEInstitutional CommunicationsInsuranceInternational and Emerging Market BondsInvestment Analysis ToolsInvestment ProductsInvestorsJunk BondsLetterheadLife SettlementsLimit OrderLinking to BrokerCheckMargin AccountsMargin Risk DisclosureMark-ups / Mark-DownsMarket AccessMarket OrderMarket RegulationMarket TransparancyMateriality Consultation ProcessMember Application ProgramMergers Acquisitions and Business TransfersMilitaryMilitary SpousesMillennialsMoney Market SecuritiesMortgage Backed SecuritiesMortgagesMunicipal Advisor RegulationMunicipal Fund SecuritiesMunicipal SecuritiesMutual FundsNational Adjudicatory Council (NAC)National Do-Not-Call RegistryNational Market System PlansNear RetirementNegative Response LettersNet CapitalNew Account ProcessNew Firm CommunicationsNew InvestorNon-cash CompensationOffice of Fraud Detection and Market IntelligenceOffice of Hearing Officers (OHO)Office of the Chief EconomistOffice of the General CounselOffice of the WhistleblowerOperationsOptionsOptions Exchange FilingsOrder Audit Trail System (OATS)Order HandlingOTC (ATS & Non-ATS) TransparencyOTC Bulletin Board (OTCBB)Over-the-Counter Reporting Facility (ORF)OversightPenny StocksPre-investorPreferred SecuritiesPrincipal ApprovalPrincipal Protected NotesPrivate PlacementsProduct VettingProfessional DesignationsProjectionsPromissory NotesProprietary TradingPublic Disclosure ProgramPublic non-traded REITSPublic OfferingsQualification ExamsRankingsReal Estate Investment TrustsRegistered Investment Advisers (RIA)Registration and Disclosure (RAD)Regulation A OfferingsRegulation Best Interest (REG BI)Regulation D OfferingsRegulation MRegulation M FilingsRegulation NMSRelated PerformanceRenewal ProgramReportingReprintsResearch Analyst RulesResearch DisclosuresResearch ReportsRetirement Savings PlansRetrospective Rule ReviewReverse Convertible Notes (RCN)Risk ManagementRule 4530 Reporting RequirementsSales PracticesSanction GuidelinesSavings AccountsSecurities Investor Protection Corporation - SIPCSecurity FuturesSEC’s July 2013 Financial Responsibility Rule AmendmentsSenior DesignationsSenior InvestorsShareholder ReportsShort Interest ReportingShort SellingSocial MediaStatutory DisqualificationStocksStructured ProductsSubordination AgreementsSuitabilitySupervisionSupplemental Statement of Income (SSOI)TechnologyTeensTelemarketingTelevision and VideoTemplatesTenants-in-Common InterestsThird Party ResearchThrift savings plan (TSP)Tick Size Pilot ProgramTrade Reporting and Compliance Engine (TRACE)Trade Reporting Facility (TRF)Trading Activity FeeTreasury BillsTreasury BondsTreasury Inflation Protected Securities (TIPS)Treasury NotesU.S. Treasury SecuritiesUniform Practice Code (UPC)Update a Firm's RegistrationVariable AnnuitiesVariable LifeVariable Life Insurance ProductsVIX-Linked Products (Volatility Index)Women Year 202120202019201820172016201520142013201220112010200920082007200620052004200320022001200019991998199719961995199419931992199119901989198819871969 CREATING OPPORTUNITY TOGETHER FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost totaxpayers.
We are a not-for-profit organization that – working under the supervision of the SEC – actively engages with and provides essential tools for investors, member firms and policymakers. Because of these deep relationships and together with our stakeholders, we work towards finding common solutions to create a regulatory environment that promotes collaboration, innovation, and fairness. We do this so that investors are safe, while having the opportunity to participate in America’s capital markets.Featured
Key Topic
Get the Latest Updates on COVID-19 / CoronavirusArbitration
Interested in Becoming an Arbitrator?Blog
Cybersecurity: Five Top Stories from FINRA’s 2020 ConferenceBlog
Highlights from FINRA’s Reg BI Conference for Member FirmsReport
2019 Report on Examination Findings and Observations BrokerCheck is a free tool to research the background and experience of financial brokers, advisers and firms.Check Out Your
INVESTMENT PROFESSIONAL By clicking on a match or otherwise using BrokerCheck® I agree to BrokerCheck® Terms of Use.Individual__
Individual
Firm__
Get important facts about an investment professional's background.Privacy | Legal
By clicking on a match or otherwise using BrokerCheck® I agree to BrokerCheck® Terms of Use. ADAPTING AND INNOVATING THROUGH TIMES OF CHANGE Markets are changing. Every day, technology is bringing new opportunities and more services to customers. Regulators must adapt orbe left behind.
At FINRA, we are powered by innovation. We are industry leaders in cloud technology adaptation, and we monitor billions of market transactions every day. We embrace new ideas because we know that a vibrant market depends on constant change.WHAT'S NEW
Guidance
STATE “SHELTER-IN-PLACE” ORDERSMarch 27, 2020
Blog Post
IN THIS TOGETHER - RAJ PILLAI, THE ZOOM GUYMarch 27, 2020
Guidance
SEC GUIDANCE ON CORONAVIRUSMarch 27, 2020
Conference Call
THE SMALL FIRM CONFERENCE CALL - APRIL 2, 2020March 26, 2020
The Alert Investor
FRAUD AND CORONAVIRUS (COVID-19)March 26, 2020
View More of What's New8
4
5,8
0
1
2
3
4
5
6
7
8
9
08
0
3
7
0
4
7
1
4
8
1
4
8
1
5
8
2
5
9
2
6
9
2
6
9
3
6
0
3
7
08
0
3
6
9
2
5
8
1
4
7
0
3
6
9
2
5
8
1
4
7
0
3
6
9
2
5
8
1
4
7
0
3
6
9
2
5
8
1
4
7
0
3
6
9
0,8
0
2
5
7
0
2
4
7
9
2
4
7
9
1
4
6
9
1
3
6
8
1
3
6
8
0
3
5
8
0
2
5
7
0
2
4
7
9
2
4
7
9
1
4
6
9
1
3
6
8
1
3
6
8
0
3
5
8
08
0
9
9
8
7
7
6
5
4
4
3
2
2
1
0
0
9
8
8
7
6
6
5
4
3
3
2
1
1
0
9
9
8
7
7
6
5
4
4
3
2
2
1
0
0
9
8
8
7
6
6
5
4
3
3
2
1
1
0
9
9
8
7
7
6
5
4
4
3
2
2
1
0
08
0
4
9
3
7
1
6
0
4
8
3
7
1
5
0
4
8
2
7
1
5
9
4
8
2
6
1
5
9
3
8
2
6
0
5
9
3
7
2
6
0
4
9
3
7
1
6
0
4
8
3
7
1
5
0
4
8
2
7
1
5
9
4
8
2
6
1
5
9
3
8
2
6
0
5
9
3
7
2
6
0
4
9
3
7
1
6
0
market events processed since this page was loaded.* *Based on FINRA processing an average of 67 billion electronic recordsper day.
FINRA MAIN NAVIGATION* Rules & Guidance
* Registration, Exams & CE* Events & Training
* Filing & Reporting* Compliance Tools
* For Investors
FINRA UTILITY MENU
* About FINRA
* Careers
* Media Center
* Contact Us
* BrokerCheck
ARBITRATION & MEDIATION FINRA operates the largest securities dispute resolution forum in theUnited States
Learn More
Securities Helpline for Seniors® 844-574-3577 (Mon-Fri 9am-5pm EST) Whistleblower Tip Line 866-96-FINRA or whistleblower@finra.org Office of the Ombudsman Report a concern about FINRA at 888-700-0028 Investor Complaint Center File a complaint about fraud or unfair practices. Small Firm Help Line 833-26-FINRA (Mon-Fri 9am-5pm ET) File a Regulatory Tip To report on abuse or fraud in the industryFOOTER LEGAL LINKS
* Site Map
* Privacy Policy
* Terms of Use
FOOTER LEGAL 2
* Contact
301-590-6500
2020 FINRA. All Rights Reserved. FINRA IS A REGISTERED TRADEMARK OF THE FINANCIAL INDUSTRY REGULATORYAUTHORITY, INC.
Details
Copyright © 2024 ArchiveBay.com. All rights reserved. Terms of Use | Privacy Policy | DMCA | 2021 | Feedback | Advertising | RSS 2.0