INFORMATIONAL
Conduct Of Business Abroad
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Business Abroad
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) is issuing this Notice to Members as part of its continuing effort to provide members with guidance on complying with rules that govern
A total of 741 member firms volunteered to participate in FINRA’s Remote Inspections Pilot Program, FINRA announced today in a blog post.
FINRA has provided transparency to over-the-counter equities (OTCE) trading for years through its public website.
SummaryFINRA recognizes that member firms and their personnel have been experiencing significant disruptions to their business operations due to the devastating impact of the California wildfires, which started on January 7, 2025. The wildfires have also had a major impact on customers. For instance, customers may be unable to communicate with their financial professional or receive mail during
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of January 24, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ACPV.GA
Advanta Corp.
7.100
10/23/00
I am against the test requirement -- there are a lot of people like me who are beyond 75 years old and have experience investing in this type of investments and self-limit their investments not to go over certain limit and are NOT COMFORTABLE GIVING TESTS.
Proposed Rule Change to Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Website
FINRA Establishes a New Effective Date for Reporting Asset-Backed Securities to TRACE and Related Rule Changes
Pursuant to FINRA Rule 6191(b)(4)(B), FINRA publishes aggregated Market Maker Profitability data on a monthly basis at no charge. FINRA does not identify the market makers that generated the data or the individual securities.
FINRA aggregates and publishes the following data categorized by Control Group and each Test Group:
market maker profitability statistics for market makers for
What kind of nonsense is this - the two companies that run the two leveraged ETFs I own both sent me email alerts about FINRA's potential rule changes this morning, urging me to submit comments on the rules, which have a deadline of only 5 days away?!? That's so unfair it's like FINRA doesn't care what investors have to say, their minds are made up. Consider
