PROVIDING COMPLIANCE PRODUCTS & SOLUTIONS
PROVIDING COMPLIANCE  PRODUCTS & SOLUTIONS 

FINRA Notices

Notices

Regulatory Notice 25-02 (Mon, 27 Jan 2025)
Summary FINRA recognizes that member firms and their personnel have been experiencing significant disruptions to their business operations due to the devastating impact of the California wildfires, which started on January 7, 2025. The wildfires have also had a major impact on customers. For instance, customers may be unable to communicate with their financial professional or receive mail during this time.
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Election Notice - 1/10/2025 (Fri, 10 Jan 2025)
The purpose of this Election Notice is to notify FINRA large and small member firms of contested elections for a large firm seat and a small firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots.
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Information Notice - 1/3/25 (Fri, 03 Jan 2025)
As announced by The Options Clearing Corporation (OCC) and the national options exchanges, due to the National Day of Mourning on January 9, 2025, the Contrary Exercise Advice (CEA, also known as “Expiring Exercise Declaration” or EED) cut-off time for options that expire on January 9, 2025, will be modified as follows:
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Regulatory Notice 25-01 (Thu, 02 Jan 2025)
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 filings with participating self-regulatory organizations (SRO) and jurisdictions. During this program, FINRA announces renewal fees BD and IA firms owe via Preliminary Statements issued in November. FINRA publishes Final Statements in January to confirm or reconcile the actual renewal fees BD and IA firms owe after January 1, 2025.
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FINRA Monthly Recap

Using Data to Stay Ahead of Risk: Introducing FINRA’s StratIntel Team (Tue, 11 Feb 2025)
As the financial industry continues to evolve, it's important to stay ahead of emerging risks and trends. On this episode of FINRA Unscripted, the leaders of FINRA's new Strategic Intelligence and Analytics (StratIntel) team discuss how they are working to identify and analyze these industry developments. On this episode, we sit down with the leaders of the StratIntel team: Senior Vice President of Data and Analytics for Member Supervision Jim Reese, and his two Vice Presidents, Brita Bayatmakou and Clint Johnson. The three share insights on how this new team is evolving FINRA's approach to intelligence gathering and risk monitoring, and the innovative ways they are using data and analytics to support FINRA's mission of investor protection and market integrity. Resources mentioned in this episode: 2025 Regulatory Oversight Report 3110. Supervision Episode 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals Episode 169: Unpacking FINRA’s 2025 Regulatory Oversight Report Find us:  XYouTube /LinkedIn / Facebook /  E-mail
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Unpacking the 2025 FINRA Annual Regulatory Oversight Report (Tue, 28 Jan 2025)
As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity. The 2025 FINRA Regulatory Oversight Report provides just that: Critical insights to help firms strengthen their compliance and protect investors. On this episode, hosted by Member Relations and Education Vice President Kayte Toczylowski, FINRA’s regulatory leaders— Executive Vice President and Head of Member Supervision Greg Ruppert, Executive Vice President and Head of Market Regulation and Transparency Services Stephanie Dumont, and Executive Vice President and Head of Enforcement Bill St. Louis—join us to dive into the report’s takeaways and insights for member firms. Resources mentioned in this episode: 2025 Regulatory Oversight Report SEC Regulation Best Interest (Reg BI) 5310. Best Execution and Interpositioning Reg Notice 20-31: FINRA Reminds Firms of Their Supervisory Responsibilities Relating to CAT Investor Insights: Artificial Intelligence (AI) and Investment Fraud Episode 168: Investing Wisely in 2025: Avoiding Scams and Achieving Your Financial Goals Find us:  XYouTube /LinkedIn / Facebook /  E-mail
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CONTACT US

Augusto “Gus” Macedo

Managing Director

 

11201B Lockwood Drive

Silver Spring, Maryland  20901

Tel: 301-523-6427

 

AMC classified NAICS codes:

  • 522120 - Savings Institutions
  • 522130 - Credit Unions
  • 523110 - Investment Banking and Securities Dealing
  • 523120 - Securities Brokerage
  • 523210 - Securities and Commodity Exchanges
  • 523910 - Miscellaneous Intermediation
  • 523920 - Portfolio Management
  • 523930 - Investment Advice
  • 523991 - Trust, Fiduciary, and Custody Activities
  • 523999 - M
  • 522110 - Commercial Banking
  • iscellaneous Financial Investment Activities
  • 524113 - Direct Life Insurance Carriers
  • 524210 - Insurance Agencies and Brokerages
  • 525110 - Pension Funds
  • 525910 - Open-End Investment Funds
  • 611430 - Professional and Management Development Training

 

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