FINRA has replaced the Automated Data Delivery System (ADDS) OTC Reporting Facility Trade Journals (v1.3) document with the FINRA ADDS User Guide v5.0.
New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Comprehensive Automated Risk Data System
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Risk
Senior Management
Technology
Key Topics
Reporting Requirements
Referenced Rules &
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Proposed Rule Change to Adopt as Permanent the Limited Fee Waiver Pilot Program Pursuant to FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE))
In addition to checking and savings accounts, your local bank may offer you investment accounts that you can use to save for college or retirement, insurance coverage for your home or your life, or annuities to help you generate retirement income.
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to postpone until February 2, 2015, the implementation date of the requirement that alternative trading systems ("ATSs") use unique market participant identifiers ("MPIDs") when reporting
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Options are contracts that give the purchaser the right, but not the obligation, to buy or sell a security, such as a stock or exchange-traded fund, at a fixed price within a specific period of time.
Options can help investors manage risk. But buying and selling options also involves risk, and it is possible to lose money. It pays to learn about different types of options, trading strategies and
