FINRA

Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches ...

Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)

Change may be coming to FINRA’s public communications and gifts, gratuities and non-cash compensation rules. The SRO has issued two retrospective rule review reports assessing ...

2015 Holiday Trade Date, Settlement Date and Margin Extensions Schedule

The annual financial report previously released by FINRA showed 2013 was a good year for the SRO (IA Watch, July 7, 2014). Now, according to ...

SIFMA continues to hammer away at FINRA’s controversial CARDS proposal (IA Watch, Dec. 4, 2014). This time the ammunition being used to combat the proposal ...

FINRA expects broker-dealers to stick with their fair pricing obligations to their customers when conducting transactions in lower-priced or distressed securities. Merrill Lynch has run ...

FINRA Reminds Firms of Extended Hours Trading Disclosures

FINRA has sent a strong message that it’s committed to enforcing its research analyst conflict of interest rules. The SRO has fined 10 firms for ...

FINRA Announces Results of SFAB, NAC and District Committee Elections