Volatility—market swings—can sometimes bring an uncomfortable surprise to investors: a margin call. When you buy stock on margin, your brokerage firm lends you cash, using assets in your account as collateral, to purchase securities. To trade on margin, you must have a margin account with your brokerage firm.
An unprecedented number of companies are pursuing an alternative path to entering the public market by using a special purpose acquisition company or SPAC. In 2020, SPACs raised over $80 billion, and in the first nine weeks of 2021 SPACS raised over $70 billion. Here are some basics on SPAC investing.
This User Support page provides links to help and training resources for users of Web CRD.
The Long Term Stock Exchange (“LTSE”) is providing a testing opportunity this weekend in preparation for their future launch. Firms participating in the August 15, 2020 test may send OATS data related to those orders to the OATS Certification Testing environment before the following Monday's OATS reporting deadline. OATS will then attempt to match to LTSE test data. Matching
Anti-Money Laundering
Cybersecurity and Technology Governance
Outside Business Activities and Private Securities Transactions
Books and Records
Regulatory Events Reporting
Firm Short Positions and Fails-to-Receive in Municipal Securities NEW FOR 2022
Trusted Contact Persons NEW FOR 2022
Funding Portals and Crowdfunding Offerings NEW FOR 2022
Previous:
How
The SEC requires that broker-dealers create and maintain certain records so that, among other things, the SEC, self-regulatory organizations ("SROs") and state securities regulators may conduct effective examinations of broker-dealers.
FINRA alerts member firms that the New York Stock Exchange (NYSE) has filed a rule change for immediate effectiveness to harmonize NYSE Rule 3110 (Supervision) with FINRA Rule 3110 (Supervision) to permit eligible NYSE member organizations to participate in FINRA’s Remote Inspections Pilot Program and to adopt FINRA’s Residential Supervisory Location (RSL) classification.
