The purpose of this notice is to make sure you understand and agree to the Qualification Examinations Rules of Conduct for examinations administered in test centers or remotely. You are required to agree to all of the following Rules of Conduct before starting your examination.
The Small Firm Virtual Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
Agenda
View the brochure for the 2021 Small Firm Virtual Conference.
Session Recordings
Recordings of sessions are available to FINRA member firms and
In observance of Martin Luther King Jr. Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, January 18, 2021. Affected applications include:
Alternative Display Facility (ADF)
OTC Bulletin Board (OTCBB)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in
This is an update to the schedule for the rollout of FINRA’s Multi Factor Authentication (MFA). As part of its Transparency Services improvement initiatives, FINRA is introducing a new method for users to gain secure access to the TRAQS website and will be introducing a new system infrastructure for its products.
On Monday, April 19, 2021 (previously January 25, 2021), FINRA will
If you plan to move after the military, keep these points in mind when making your housing decisions.
Service members have access to one of the lowest-cost ways to save for retirement.
SCRA offers a variety of provisions to help active duty personnel meet their legal and financial obligations. But relief under the SCRA is not always automatic.
Managing real estate from afar can be a challenge for a family living the military lifestyle. You should approach real estate with the same care you would take before making any investment.
The SDP was designed to provide members of the uniformed services in designated combat zones an opportunity to build their financial savings.
Talking about money issues can be stressful. Talking about them while a service member is deployed to a remote location can be more so.
