FINRA Webcast

Life of an Equity Trade

 

This webcast provides an overview of the equity trading process. It describes the path of an equity trade from order through entry, execution and settlement. It also highlights several important equity trading rules.

 

This program is also offered as an e-learning course with real-time completion tracking and certificates of completion.

 

View Webcast

 

Related Resources:

Notice to Members 01-85

 

Notice to Members 95-43

 

Notice to Members 94-58

 

Notice to Members 92-16

 

IM-2110-2

 

Rule 2110

 

Rule 2111

 

Rule 2120

 

IM-2310-2

 

Rule 2320

 

Rules 4000-7000

 

SEC Rule 17a-3

 

SEC Rule 10b-10

 

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For firms that use FINRA webcasts for training purposes, please be aware that FINRA now offers webcast tracking through the Report Center. 

 

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Important Viewing Notes:

Access
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Required Software
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Required Hardware
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