As announced in Regulatory Notice 21-02, FINRA is modifying the convention for rounding the original Loan-To-Value ratio used in the dissemination of transactions in agency pass-through mortgage-backed securities and Small Business Administration (SBA)-backed asset-backed securities traded in specified pool transactions. This change will become effective on Monday, July 26, 2021. On this day, the
As announced in Regulatory Notice 21-02, FINRA is modifying the convention for rounding the original Loan-To-Value ratio used in the dissemination of transactions in agency pass-through mortgage-backed securities and Small Business Administration (SBA)-backed asset-backed securities traded in specified pool transactions. This change will become effective on Monday, May 17, 2021.&
A listing of general registration, membership, fingerprint processing, qualification examination fees.
(a) Pursuant to the Rule 9600 Series, the staff for good cause shown after taking into consideration all relevant factors, may exempt, upon application and subject to specified terms and conditions, a member alternative trading system ("ATS") from the trade reporting obligation under Rule 6730, if such exemption is consistent with the protection of investors and the public interest. The
Last modified: November 17, 2023FINRA's Arbitration Awards database enables users to perform Web-based searches for FINRA and historical NASD arbitration awards free of charge, seven days a week. Also available through the site are historical awards for New York Stock Exchange, the American Stock Exchange, the Philadelphia Stock Exchange, and the Municipal Securities Rulemaking Board. Users
The Municipal Continuing Disclosure Report displays statistics about transactions that your firm effected with customers. The report provides relevant information about the availability of official statements, annual financial filings, and event filings on the MSRB's Electronic Municipal Market Access system (EMMA) at the time the securities were sold or purchased. Specifically, the report
The timely receipt of firms’ annual audited financial statements is critical to FINRA’s ability to carry out its regulatory obligations.
The Series 9 and 10 exams — General Securities Sales Supervisor Qualification Exams (SU) —assess the competency of an entry-level principal to perform their job as a general securities sales supervisor.The exams measure the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities sales supervisor, including the approval of customer
FINRA requires firms to report short interest positions in all customer and proprietary accounts in all equity securities twice a month. All short interest positions must be reported by 6 p.m. Eastern Time on the second business day after the reporting settlement date designated by FINRA.See the schedule of reporting dates below.2024 Short Interest Reporting
Effective 09/30/2020 FINRA will disable support for Transport Layer Security (TLS) protocol versions 1.0 and 1.1 for all web applications/API connections. Firms using older clients/browsers that do not support TLS version 1.2 and above will not be able to establish connectivity with FINRA web applications/APIs.
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