Forms

Forms U4/U5 and continuing ed are the latest focus items

The CFTC and NFA are granting CPOs/CTAs additional time to file regulatory obligations given the coronavirus crisis

The Commission intends to continue to monitor the current situation

Taking this action will stop future NFA notices alerting you to file Form PR

Forms U5 offer FINRA critical insight to help the SRO identify and investigate potential misconduct and sanction individuals if warranted. That opportunity was lost when ...

Both the missing transactions and inaccurate data reported were caused primarily by Stifel’s utilization of “trade compression,” a process by which data relating to multiple ...

This document makes technical corrections to certain amendments to the Commission’s disclosure rules and forms adopted in Release No. 33-10618 (March 20, 2019), which was ...

The SEC has upheld a FINRA panel’s decision to suspend the CCO of a Syosset, New York-based broker-dealer for four months for failing to disclose ...

Form CRS or elationship summary.

In a bid to provide greater flexibility to broker-dealers withdrawing their registration, the SEC has approved amendments to FINRA rule 4570 affording firms the option ...