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Seniors make up an increasingly large share of the American population1 and hold higher levels of wealth than other generations. These factors, among others, make seniors an attractive target for financial exploitation, with evidence suggesting that such exploitation has been increasing in terms of both scope and magnitude.2 Sadly, while seniors sometimes fall victim to financial exploitation by strangers, they are often exploited by individuals they know and trust, such as family members or caregivers.
Will I be able to log in to FINRA Gateway with my existing Firm Gateway credentials?
yes, firm gateway users will be able to log in to finra gateway using their existing firm gateway credentials.
Can I customize my experience in FINRA Gateway?
云南快乐十分胆拖复式金额表yes. as of april 7, 2020, you can:
in response to the covid-19 pandemic, a growing number of states and localities have issued workplace restrictions as part of their efforts to prevent the spread of the disease. these “shelter-in-place” or “stay-at-home” orders vary in scope and duration, but generally require businesses not considered “essential” to close their physical offices and continue their operations remotely.
SEC's COVID-19 Response page
Due to the coronavirus pandemic (COVID-19), FINRA is providing temporary relief for member firms from rules and requirements in the Frequently Asked Questions below. The relief provided does not extend beyond the identified rules and requirements. FINRA will continue to monitor the situation to determine whether additional guidance and relief may be appropriate. As coronavirus-related risks decrease, member firms should expect to return to meeting any regulatory obligations for which relief has been provided.
on march 20, 2020, the securities and exchange commission (the commission) issued an order that, among other things, provides a temporary exemption until may 30, 2020 from the fingerprinting requirements of securities exchange act rule 17f-2 for finra members. as a condition of the relief, the order requires written notification to the commission by may 30, 2020, that a person will rely on the exemption. finra has provided that notification on behalf of all of its members, their employees and associated persons.
Register to attend an upcoming webinar which will introduce FINRA Gateway, the new FINRA reporting and compliance user experience—designed to streamline compliance functions to help you do your job more efficiently. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative will roll out over the coming months. Each webinar covers a wide variety of topics, including a demonstration of the new platform.
Please check this page frequently for webinar updates.
云南快乐十分胆拖复式金额表trading & financial compliance examinations (“tfce”) of the market regulation department (“market regulation”) at the financial industry regulatory authority, inc. (“finra”) is conducting a review of [firm] concerning the firm’s decision not to charge commissions for customer transactions, the impact that not charging commissions has or will have on the firm’s order routing practices and decisions, and other aspects of the firm’s business.
Is there a rule that addresses prohibited conditions relating to expungement of customer dispute information?
云南快乐十分胆拖复式金额表yes, finra rule 2081 provides that no member or associated person shall condition or seek to condition settlement of a dispute with a customer on, or to otherwise compensate the customer for, the customer’s agreement to consent to, or not to oppose, the member’s or associated person’s request to expunge customer dispute information from the crd system.
Does FINRA Rule 2081 apply only to settlements?
In both 2017 and 2018云南快乐十分胆拖复式金额表, FINRA issued Reports on Examination Findings in response to firms’ requests that we make publicly available a summary of key findings from FINRA’s examinations of member firms. Firms use this information, as well as effective practices observed by FINRA at certain firms, to anticipate potential areas of concern and improve their procedures and controls.
finra regulates a critical part of the securities industry – brokerage firms doing business with the public in the united