PROVIDING COMPLIANCE PRODUCTS & SOLUTIONS
PROVIDING COMPLIANCE  PRODUCTS & SOLUTIONS 

FINRA Notices

Notices

Information Notice – 05/06/22 (Fri, 06 May 2022)
March 2022 Options Disclosure Document
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Special Notice – 4/22/22 (Fri, 22 Apr 2022)
Summary FINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (FINRA Board). This Notice provides:
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Information Notice - 4/21/22 (Thu, 21 Apr 2022)
Summary Effective May 14, 2022, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $5.10 per million dollars in transactions to a new rate of $22.90 per million dollars in transactions. Finance-related questions should be directed to Amanda Rath, Manager, Finance, at (240) 386-6637 or email. Legal and interpretive questions should be directed to:  
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Information Notice 4/19/22 (Tue, 19 Apr 2022)
Summary This Notice shares key operational changes in FINRA’s Membership Application Program (MAP) implemented to improve its effectiveness and efficiency (MAP Transformation), including establishing a centralized application intake function and aligning the program with the firm grouping model developed by FINRA’s Member Supervision Department during its recent transformation.
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FINRA Monthly Recap

The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512 (Tue, 03 May 2022)
Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in losses. That's just one reason why the protection of these investors is a top priority for FINRA.  On this episode, we hear from FINRA’s Office of General Counsel’s Jeanette Wingler and Jim Wrona about how FINRA Rules 4512 and 2165, the first uniform national senior investor protection standards, can help broker-dealer firms and representatives protect their senior and other vulnerable adult customers.  How are we doing? Take the FINRA Unscripted survey today.  Resources mentioned in this episode: Rule 2165 Rule 4512 Episode 16: How FINRA Rules Get Made (and Reviewed) Securities Helpline for Seniors® FINRA Foundation
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MAP Transformation: Streamlining FINRA's Gatekeeper Function (Tue, 19 Apr 2022)
Member Supervision's Membership Application Program Group is the gatekeeper to the broker-dealer industry. It works both to protect investors by ensuring would-be firms meet FINRA's Standards of Admission and to help new and existing firms grow and evolve, ensuring a vibrant market for all. Now, the program is undergoing a transformation.  On this episode, we hear from Cindy Foster, the new head of MAP, to hear how the group is working to develop a more streamlined process to help firms and prospective firms work through the New Membership and Continuing Membership Application processes more efficiently.  How are we doing? Take the FINRA Unscripted survey today.  Resources mentioned in this episode: Information Notice: MAP Transformation Broker-Dealer Registration FINRA Standards for Admission Phone: 212-858-4000, option five Email: MAPintake@finra.org
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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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