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regulatory topics.
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 is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.DISCOVERY GUIDE
FINRA provides the Discovery Guide for customer cases only, which outlines documents that the parties should exchange without arbitrator or staff intervention. DR PORTAL | FINRA.ORG The DR Portal has two parts: the DR Neutral Portal is for FINRA neutrals (arbitrators and mediators) serving on the Dispute Resolution roster, and the DR Party Portal is for arbitration and mediation case participants. FINRA encourages arbitrators and mediators to take advantage of the portal's 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).
2040. PAYMENTS TO UNREGISTERED PERSONS (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 Exchange Act but, by reason of receipt of any such payments and the activities related thereto, is required to be so registered under applicable 3241. REGISTERED PERSON BEING NAMED A CUSTOMER’S (a) Obligations of the Registered Person (1) A registered person shall decline being named a beneficiary of a customer’s estate or receiving a bequest from a customer’s estate upon learning of such status unless one of the following conditions is satisfied: (A) The customer is a member of the registered person's immediate family; or (B) Upon learning of such status, the registered person 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. 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.
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 is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.DISCOVERY GUIDE
FINRA provides the Discovery Guide for customer cases only, which outlines documents that the parties should exchange without arbitrator or staff intervention. DR PORTAL | FINRA.ORG The DR Portal has two parts: the DR Neutral Portal is for FINRA neutrals (arbitrators and mediators) serving on the Dispute Resolution roster, and the DR Party Portal is for arbitration and mediation case participants. FINRA encourages arbitrators and mediators to take advantage of the portal's 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).
2040. PAYMENTS TO UNREGISTERED PERSONS (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 Exchange Act but, by reason of receipt of any such payments and the activities related thereto, is required to be so registered under applicable 3241. REGISTERED PERSON BEING NAMED A CUSTOMER’S (a) Obligations of the Registered Person (1) A registered person shall decline being named a beneficiary of a customer’s estate or receiving a bequest from a customer’s estate upon learning of such status unless one of the following conditions is satisfied: (A) The customer is a member of the registered person's immediate family; or (B) Upon learning of such status, the registered personCONTACT FINRA
FINRA staff is working remotely in light of COVID-19 . We strongly encourage investors who are filing complaints to do so electronically. Investor Contacts Investor Complaint Center FINRA investigates complaints against brokerage firms and their employees. FINRA is empowered to take disciplinary actions, including fines, suspensions and other sanctions.ENFORCEMENT
Enforcement believes in a fair and transparent process—which is why all formal disciplinary actions we take are available through a publicly accessible online search tool called FINRASCHEDULE 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 OPERATING & HOLIDAY SCHEDULE FINRA operates Monday through Friday during regular business hours, except as indicated below. Date Holiday Friday, January 1, 2021 New Year’s Day Monday, January 18, 2021 Martin Luther King, Jr. Day Monday, February 15, 2021 Presidents’ Day Friday, May 28, 2021SR-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 a 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 also 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. ANONYMOUS COMMENT ON REGULATORY NOTICE 21-19 I am in favor of these proposed rule changes. Specifically the disclosing of synthetic positions. It is vital that this information be made available to combat predatory trading practices. Practices that artificially destroy businesses and lives. If we cannot eliminate the loophole that allows for synthetic naked shorting, getting as much information made public is the next best thing. 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. 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. 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.
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
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).
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
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. 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.
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
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).
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
BROKERCHECK
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.NEWS RELEASES
New study finds lack of financial literacy linked to high levels of stress and anxiety WASHINGTON (April 28, 2021)—A substantial number of adults in the United States between the ages of 21 and 62 felt anxiety and stress about their personal finances well before the onset of the COVID-19 pandemic, according to a new report published today.FINRA GATEWAY
Technology shouldn’t slow you down – it should make you more efficient. That’s why FINRA has launched the new FINRA Gateway. The new compliance portal, powered by FINRA's Digital Experience Transformation, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific needs. 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 moreBONDS | 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.SR-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 a 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 also 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. 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 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. 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. 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. 2021 FINRA ANNUAL CONFERENCE 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
3110. SUPERVISION
In accordance with Rule 3110.16, inspections for calendar year 2020 must be completed on or before March 31, 2021 and inspections for calendar year 2021 must be completed on or before December 31, 2021. Notwithstanding Rule 3110.17, a member shall remain subject toBROKERCHECK
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. 2021 FINRA ANNUAL CONFERENCE 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.
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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
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In accordance with Rule 3110.16, inspections for calendar year 2020 must be completed on or before March 31, 2021 and inspections for calendar year 2021 must be completed on or before December 31, 2021. Notwithstanding Rule 3110.17, a member shall remain subject toBROKERCHECK
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WASHINGTON – The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Goldman Sachs & Co. research analyst Brian Maguire for twice purchasing securities after he learned a fellow analyst was upgrading his recommendation in impending research reports and for lying to FINRA staff about his trading. Apr20, 2021.
BONDS | 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. OPERATING & HOLIDAY SCHEDULE FINRA operates Monday through Friday during regular business hours, except as indicated below. Date Holiday Friday, January 1, 2021 New Year’s Day Monday, January 18, 2021 Martin Luther King, Jr. Day Monday, February 15, 2021 Presidents’ Day Friday, May 28, 2021 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 also 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 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 STEVE SELAK COMMENT ON REGULATORY NOTICE 21-19 Please explain why naked short sale reporting has been allowed so many "Fail To Deliver's" for over 20 years and no one from any government agency has done anything about it? If the economy fails because of this regulatory neglect who will pay for the clean up? 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.
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