The Financial Industry Regulatory Authority (FINRA) is a body that provides tools, templates and other resources to small firms of not more than 150 representatives to protect investors. Learn more about this body below. All the best.
14b-9
Mc-400
10b-18
Nyse rule 44
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120 days
2 years
2 years + 90 day grace period
10 years
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180 days
120 days
2 years
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Every 2 years
2 years after registration, every 3 years after that
Every 3 years
3 years after registration, every 2 years after that
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Wash sales
Trading ahead of client orders
Pegging
Capping
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Keep the price of a stock from rising
Keep the price of a stock from falling
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Keep the price from falling
Keep the price from rising
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10 days
20 days
30 days
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180 days
2 years
5 years
10 years
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True
False
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True
False
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30 days after 1st and 2nd attempt 180days every time after
30 days between each test
30 days after 1st,2nd and 3rd attempt, 180 days each time after
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Created by Finra, regulates bonds
Created by Finra, regulates secondary markets
Created by SEC, Regulates bonds
Created by SEC, Regulates secondary market
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Up to $25mm - SEC
Up to $5m and 20 years in jail regulated by DOJ
Must give up profits and up to 3 times the profit SEC
Must give up profits and up to 3 times the profit DOJ
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Give up profits and up to 3 times the amount- SEC
Give up profits and up to 3 times the amount - DOJ
Up to $5m and 20 years in jail regulated by DOJ
Up to $25 regulated by DOJ
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Give up profits and up to 3 times the amount- SEC
Give up profits and up to 3 times the amount - DOJ
Up to $5m and 20 years in jail regulated by DOJ
Up to $25 regulated by DOJ
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Section 3011
Section 10b-18
Section 10b-5
435(5)
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BOD annually
BOD quarterly
CEO annually
CEO quarterly
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Both Documents 2 years
Confirmation 3 years
Confirmation 2 years
Prospectus 3 years
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Quarterly
Semi-annually
Annually
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Structures Public Offers
Signs off on company literature
Structures private placements
All of the above
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Officer
Owner of 10% or more
Principle
Shareholder
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True
False
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Opac
Ofac
Sars
SEC
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File under SEC within 10 days
File under SARs within 10 days
File under SEC within 30 days
File under SARs within 30 days
File under Ofac within 30 days
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Block & Report to OFAC 10 days
Block & Report OFAC 30 days
Block & Report SARs 10 days
Block & Report SARs 30 days
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Pegging
Wash Sale
Selling away
Cross selling
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Yes
No
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Yes
Yes, with a joint account only
Not at all
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Finra Annually
Finra Quarterly
SEC Annually
SEC Quarterly
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8-k statements
Pro-forma statements
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2 years
5 years
6 years
10 years
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Section 10b-18
Regulation FD
10k & 10Q
8K
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Once
Twice
Three times
Four times
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4 Business Days
4 calendar days
10 Business Days
10 Calender days
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Regulation FD 120 Days
Regulation FD 24 Hours
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True
False
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True
False
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Form 4 - 2 Business days
Form 3 - 10 days
Form 2 - 5 days
Form 5 - Annually
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Form 4 - 2 business days
Form 3- 10 business days
Form 5 - Annually
Form 2 - Annually
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Form 4 - 2 business days
Form 3- 10 business days
Form 5 - Annually
Form 2 - Annually
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Schedule 13d
14d-9
13a-11
10b-5
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The issuer
The exchange where security is traded
The SEC
A and C only
A, B and C
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Schedule 13d-9
Schedule TO in addition to schedule 13d-9
Schedule 13G
Schedule 13F
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Schedule 13D
Schedule 13G
Schedule 13F
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10 days
20 days
30 days
40 days
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10 days
20 days
30 days
40 days
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