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Series 6

Unit 3 QQ 3.A FINRA Membership and Registration

QuestionAnswer
Conduct Rules A set of rules established by FINRA regulating the ethics employed by members in the conduct of their business.
Uniform Practice Code FINRA policies that establish guidelines for member firms' business dealings in securities with other member firms and customers.
Code of Procedure (COP) FINRAs formal procedure for handling trade practice complaints involving violations of the conduct rules. The department of enforcement is the first body to hear and judge complaints.
Code of Arbitration Procedure Governs the resolution of disagreements and claims between members, registered res and the public; it addresses monetary claims.
Central Registration Depository (CRD) Maintains info on all persons registered with FINRA, including info on customer complaints and disciplinary history. Public customers have access to some of this info via an 800 # or website by FINRA.
Created by: ericjrolon