FINRA US
FINRA Opens a Second Enrollment Period for the Maintaining Qualifications Program
Summary
FINRA has amended Rule 1240.
FINRA US
Report From FINRA Board of Governors Meeting – March 2023
Board Approves Rule Proposal to Shorten the Securities Settlement Cycle to T+1 Consistent with Recent SEC Rule Changes, and Allocation of 2022 Fine Monies
WASHINGTON—FINRA’s Board of Governors met on
FINRA US
FINRA Issues Guidance in Connection With Failures of Silicon Valley Bank and Signature Bank
Summary
FINRA is issuing this Notice to provide guidance for members affected by the recent failures of Silicon Valley Bank (SVB) and Signature Bank (Signature).
FINRA US
2023 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Summary
In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Stand
FINRA US
New Rate for Fees Paid Under Section 31 of the Exchange Act
Summary
Effective February 27, 2023, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate o
FINRA US
Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm
Financial Industry Regulatory Authority, Inc.
FINRA US
FINRA Announces Departure of Enforcement Head Jessica Hopper
WASHINGTON—FINRA announced today that Jessica Hopper plans to leave FINRA on February 3, after an 18-year tenure culminating in her leadership o
FINRA US
FINRA Amends FINRA Rule 2231
Summary
FINRA has adopted amendments to Rule 2231 (Customer Account Statements) to add eight new supplementary materials pertaining to:
compliance with Rule 4311 (Carrying Agreements);
the transmiss
FINRA US
Proposed Rule Change to Amend the Codes of Arbitration Procedure
Financial Industry Regulatory Authority, Inc.
FINRA US
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Summary
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice fi
Regulator Information
Regulator Name: Financial Industry Regulatory Authority
Abbreviation: FINRA
Jurisdiction: United States
Website: https://www.finra.org/#/
Email: [email protected]
Recent Articles
Volume 46, Issue 12
Use this form to submit website feedback and suggestions, or to inform us about website issues.
Tasman Resources and Eden Innovations writes down intellectual property assets following ASIC review
Tasman Resources Limited (Tasman) and Eden Innovations Limited (Eden) have written down their intellectual property assets by $9.3 million in their interim financial reports...
Opening Statement by Vasileios Madouros, Deputy Governor, Monetary and Financial Stability at the Oireachtas Select Committee on Budgetary Oversight
Good evening Chair and Members of the Committee. My name is Vasileios Madouros, I am the Deputy Governor for Monetary and Financial Stability at...
Circular CSSF 20/751 as amended by Circular CSSF 23/830
Adoption of the Guidelines of the European Banking Authority on management of non-performing and forborne exposures (EBA/GL/2018/06), disclosure of non-performing and forborne exposures (EBA/GL/2018/10)
PDF...
Carbon market: opportunities and advantages in Argentina
This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content...
