A Report on FINRA’s Financial Planning and Annual Budget
list of Participant Information And Legal Agreements
It's important to know what you want to accomplish with your investments before you actually invest. Learn how to set your financial goals, get a handle on your cash flow, control spending, manage debt and get on the path to saving and investing.
Take a Smart Investing Course
Taking one of FINRA’s Smart Investing Courses can help you expand your knowledge of key investing topics. Learn
Monthly Disciplinary Actions January 2018
Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination
On August 18, 2008, BATS Trading ("BATS") announced that it had received approval from the Securities Exchange Commission to operate a stock exchange, BATS Exchange, Inc.
On July 14, 2008, FINRA announced in an updated version of the OATS Reporting Technical Specifications that a "Negotiated Trade Flag" was being added to both the New Order and Combined Order/Execution Reports to identify instances where a trade is completed as the result of a negotiation.
