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failure to execute
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The failure of a broker to execute an order of his or her customer.
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FAQS
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See Firm Access and Query System
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Federal Reserve System
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A federal government institution created by Congress to administer the nation's credit and monetary policies. Among other things, the Board of Governors of the Federal Reserve System sets the initial amount of credit that broker/dealers (as well as other lenders) may extend to customers to purchase securities.
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filing
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Delivery to the Director of Arbitration of the statement of claim or other pleadings, to be kept on file as a matter of record and reference.
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Financial Industry Regulatory Authority (FINRA)
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The Financial Industry Regulatory Authority, known as FINRA, is the largest non-governmental regulator for all securities firms doing business with the United States public—more than 5,000 firms employing more than 660,000 registered representatives. FINRA was created in 2007 through the consolidation of NASD and NYSE Member Regulation.
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financial printer
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An experienced financial printer that is familiar with Securities and Exchange Commission regulations governing the graphic presentation of a prospectus. (See prospectus
, red herring prospectus
)
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FINRA
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FINRA, the Financial Industry Regulatory Authority, is the largest non-governmental regulator for all securities firms doing business with the United States public—more than 5,000 firms employing more than 660,000 registered representatives.
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Firm Access and Query System (FAQS)
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FINRA system that allows participating members computer access to their registration and examination data maintained in the Central Registration Depository. Members may use FAQS to schedule qualification examinations, and review their CRD accounting, balance and activity. (See Central Registration Depository
)
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firm-commitment underwriting
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See underwriter
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firm quotation
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A requirement that a Market Maker execute an order from another broker/dealer at its displayed Nasdaq price for the normal unit of trading, or for its displayed size, whichever is greater. (See Market Maker
)
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FOCUS
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Financial and Operational Combined Uniform Single Report
(The FOCUS Report is also called Form X-17A-5)
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foreign
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A non-U.S. company with securities trading on The Nasdaq Stock Market.
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Form 10 K
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See annual report
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Form 20-F
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A Securities and Exchange Commission 1934 Act registration statement and annual report form typically used by foreign issuers.
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Form 6-K
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The Securities and Exchange Commission form for non-U.S. issuers to make periodic reports.
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Form F-1
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The Securities and Exchange Commission 1933 Act form registering the securities of a non-U.S. company to be issued as part of a public offering.
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Form U-4
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A uniform application for security industry registration or transfer.
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Form U-5
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A uniform termination notice for security industry registration.
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forum fee
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Fee charged by FINRA (or other forum) for the use of its facilities.
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fourth market
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The direct trading of large blocks of securities between institutional investors through a computer network. (See INSTINET
, third market
)
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