FINRA releases a slew of FAQs tied to new qualification and ...

The rule imposes an experience requirement (18 months of experience within the preceding five-year period) on those registered representatives ...

FINRA Alerts Member Firms of Form BR Functionality ...

Firm compliance professionals can access filings and requests, run reports and submit support tickets. ... Arbitration and mediation case ...

Frequently Asked Questions Related to Regulatory Relief Due ... - finra

Due to the coronavirus pandemic (COVID-19), FINRA is providing temporary relief for member firms from rules and requirements in the Frequently Asked ...

Qualification Exam FAQ | FINRA.org

The following FAQ on FINRA.org pertain to Qualification Exams: Frequently Asked Questions Regarding Qualification Exams · Frequently Asked Questions Regarding ...

FINRA Rule 2111 (Suitability) FAQ

Accordingly, a broker-dealer could choose to seek to obtain and analyze the customer-specific factors listed in Rule 2111 when it makes new recommendations to ...

The $9 Million Renewable Energy Ponzi Scheme - FBI

As part of the scam, Brewer falsely claimed to be an engineer and sought investors who had ties to the dairy industry or green energy industry.

Qualification Exams | FINRA.org

FINRA, the MSRB, NASAA and NFA have extended qualification exam windows for individuals in areas affected by Hurricanes Helene and Milton. Impacted individuals ...

Frequently Asked Questions for FINRA Member Firms on AI Use in ...

Several days ago, FINRA released guidance updating its Frequently Asked Questions relating to Rule 2210 on Advertising and Public ...

Overview of Scenarios Described in FAQs 39-44 | FINRA.org

An overview of the scenarios described in FAQs 39-44, covering Form BR filings—initial and amendments—for FINRA and a jurisdiction, and the NYSE, ...

Mike Malinowski - Edgewater, Florida, United States - LinkedIn

Location: Edgewater · 78 connections on LinkedIn. View Mike Malinowski's profile on LinkedIn, a professional community of 1 billion members.

FINRA adds seven new items to FAQs on research rules

For the first time since last summer, FINRA released March 4 seven new frequently asked questions tied to the SRO's research rules. In this ...