WebJan 22, 2024 · January 22, 2024. By Mark Schoeff Jr. Finra launched a helpline for small-firm members on Monday to answer “general and routine” compliance questions. … WebMar 31, 2024 · March 31, 2024 05:02 PM Eastern Daylight Time. WASHINGTON-- ( BUSINESS WIRE )--FINRA today issued Special Notice 3/31/22 to encourage securities industry professionals and non-industry ...

Order Extending the Annual Reports Filing Deadline for …

WebThe FINRA Complaint alleged that pursuant to cold calls in early 2008, Murillo solicited RL's business based upon promises of better service and a higher return on investment than that offered by the customer's then current brokerage firm. At the time, RL, a resident of Puerto Rico, was the 60-year-old owner of a small auto parts store and ... hampstead square apartments

20 3120/3130 Supervisory Controls Testing

WebFeb 12, 2024 · According to FINRA, audit work for small broker-dealers is performed predominantly during the period of time between the due date for the fiscal year-end FOCUS Report (17 business days after the firm’s fiscal year end) and the annual reports filing due date (60 calendar days after the fiscal year end). Further, according to FINRA, WebA resource where small broker-dealer firms can get help navigating FINRA’s systems and resources. Call (833) 26-FINRA (833-263-4672) Monday – Friday 9 a.m. – 6 p.m. Eastern Time As part of our ongoing efforts to provide support for small firms, and in response … WebApr 13, 2024 · FINRA will reduce the timeframe for reporting transactions in Treasuries securities to TRACE, as described in Regulatory Notice 22-27. To support these changes, a production User Acceptance Test (UAT) will occur on Saturday, April 22, 2024. Firms should notify FINRA Market Operations of their intent to participate in the UAT via email. bursted wood surgery online