The Series 4 exam — the Registered Options Principal Qualification Exam (OP) — assesses the competency of an entry-level principal to perform their job as a registered options principal.
FINRA Rule 2360(b)(3)(B) provides that "...no member shall effect for any account in which such member has an interest, or for the account of any partner, officer, director or employee therof, or for the account of any customer, an opening transaction in an option contract of any class of index options dealt in on an exchange if the member has reason to believe that as a result of such
The Series 14 exam — the Compliance Officer Qualification Exam (CR) — assesses the competency of an entry-level principal to perform their job as a compliance officer.
Proposed Rule Change to Amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
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These reports and report cards display summaries and statistics related to various risk factors, including sales practice and customer complaints, and more.Canceled and As-Of Trades ReportIn Regulatory Notice 23-17, FINRA announced its decision, effective November 30, 2023, to discontinue collecting INSITE
The OATS Web Interface is intended for all Order Sending Organizations (OSOs) — including member firms and third parties acting on behalf of member firms.
Before you invest it's wise to set aside some money—equivalent to three to six months of living expenses—in an emergency fund to cover any unexpected expenses like car repairs and medical emergencies. Learn how to create a rainy day fund.
FINRA is issuing this OATS Report to clarify a firm’s OATS reporting obligations when receiving an instruction to reduce the shares quantity of an order. FINRA understands that a customer’s wish to reduce the shares quantity of an order may be communicated to firms in one of two ways as explained in further detail below. Firms should report to OATS in accordance with the customer’s instruction.
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
