TRACE Enhanced Historical Data consists of transaction-level information including the price, the date and time of execution, transaction size and the yield. The data includes information previously not disseminated to the public, such as buy/sell indicators, counterparty (dealer or customer) information, and the full volume of each transaction. FINRA makes historical data available 6 months
2017 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
2017 and First Quarter of 2018 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
How can a firm find out which registered individuals have completed their current CE requirement?
Firms will continue to have access to dynamic reports in FINRA Gateway to assist with tracking the CE status of registered individuals. This report shows which individuals have begun and completed CE.
Can firms set up notifications for registered individuals about their CE requirements?
Elimination of Continuing Education Delivery at Testing Centers
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
New Rate for Fees Paid Under Section 31 of the Exchange Act
2016 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
