Decision IssuanceAfter considering the application, the membership interview, documents provided by the Applicant, other information, the public interest and the protection of investors, FINRA’s Membership Application Program (MAP) will issue a decision as to whether membership will be granted, granted with restrictions, or denied. The decision will be based upon a determination as to whether the
Beginning Thursday, November 1, 2018, FINRA will discontinue processing the FINRA-Bloomberg Active U.S. Corporate Bond Indices.
The following FINRA TRACE Corporate and Agency (CA) API files will continue to have historical data available for download for the February 4, 2011 through October 31, 2018 period:
Indices (Investment Grade, High Yield)
10 Most Active Index Bonds (Investment Grade,
FINRA client connections to its Multi Product Platform (MPP) services, such as TRACE, the Over the Counter Reporting Facility (ORF), the OTC Bulletin Board (OTCBB) and the Alternative Display Facility (ADF) are routed through Nasdaq, which acts as FINRA's service provider.
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Proposed Rule Change to Provide that Absent Specification to the Contrary in an Award, When Arbitrators Order Opposing Parties to Pay Each Other Damages, the Monetary Awards Shall Offset.
The FINRA Entitlement Program provides a secure way for firms to access many of FINRA’s web-based systems.
The success of securities arbitration depends on the quality of the arbitrators who hear and decide the disputes presented by the parties.
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") proposed changes to the Private Placement Filer Form ("Filer Form") that members complete when submitting private placement filings under FINRA Rules 5122 (Private Placements of Securities Issued by Members) or 5123 (Private
If you need to reschedule or cancel your qualification exam or Regulatory Element Continuing Education (CE) session appointment, you must do so a minimum of 10 business days in advance to avoid any fees. Appointments rescheduled or cancelled within 10 business days will incur a fee.
