FINRA is reviewing transactions with retail customers of certain fixed income products known as “Gas Bonds.”
(a) Requirements for Participation in Certain Public Offerings
No member that has a conflict of interest may participate in a public offering unless the offering complies with subparagraph (1) or (2).
(1) There must be prominent disclosure of the nature of the conflict of interest in the prospectus, offering circular or similar document for the public offering, and one of the following
(a) Requirements for Participation in Certain Public Offerings
No member that has a conflict of interest may participate in a public offering unless the offering complies with subparagraph (1) or (2).
(1) There must be prominent disclosure of the nature of the conflict of interest in the prospectus, offering circular or similar document for the public offering, and one of the following
(a) Dissemination Upon ReceiptFINRA will disseminate information on all transactions in TRACE-Eligible Securities, including transactions effected pursuant to Securities Act Rule 144A, immediately upon receipt of the transaction report, except as provided in paragraphs (b) through (d) of this Rule.(b) Periodic DisseminationFINRA will disseminate aggregated information on certain transactions in
As previously announced on March 22, 2024 in a FINRA Trade Reporting Notice, FINRA is implementing enhancements to the FINRA equity trade reporting facilities to support the reporting of fractional share quantities. The enhancements require associated updates to FINRA’s trade reporting guidance, as described in greater detail in the March 2024 Trade Reporting Notice. These enhancements are being
When financial markets experience turbulence, Wall Street employs a jargon all its own to describe important elements of uncertain times. Here's a look at some of the most common terms and what they mean.
View Registration Details
Review your registration and licensing information that is available in the Web CRD/IARD systems:
Employment History
Registrations held with current and previous employers
Professional Designations for Investment Adviser representatives
Other Business Activities
Exam information, including a complete history of license examinations
Continuing Education
When thinking about investing, one consideration is whether to invest funds all at once or over a period of time. If you choose the latter route, you might be opting for an investment strategy called dollar-cost averaging, in which you invest your money in equal portions, at regular intervals, regardless of the ups and downs in the market.
View the FINRA Entitlement Program Terms of Use prior to accessing one of the FINRA applications. Users must select Accept and Continue to agree to the terms of the FINRA Entitlement Program in order to access the FINRA applications.
View additional information about FINRA Entitlement.
The Municipal Trades Below Minimum Denomination Report displays statistics about transactions your firm effected with customers where the denomination was below the minimum denomination provided to DTCC’s New Issue Information Dissemination Service (NIIDS) and/or reference data obtained from Thomson Reuters. This report is designed to aid firms in monitoring their compliance
