Request for Interpretive Guidance on FINRA Rule 2111 (Suitability) in Relation to EB-5 Program Securities Transactions
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.
<p>Staff interpretation on the use of electronic signatures under NASD Rules 3110(c)(1)(C) and 3010(d).<br/></p>
Investment professionals might hold a variety of designations and other credentials, offered by a multitude of organizations. FINRA’s Professional Designations Database provides information about many of the designations you might see used, including the prerequisites and other requirements for obtaining and holding such designations
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Beginning October 1, 2018
FINRA is restructuring its representative-level qualification exam program by creating the Securities Industry Essentials (SIE or Essentials) exam and revising the representative-level qualification exams.
The program is being restructured to:
Reduce duplicative testing of general
FINRA now offers candidates the choice to take an exam at a local test center or, for a limited number of exams, proctored remotely online. For either appointment type, please ensure you are prepared in advance of your test appointment and familiar with what to expect on the day of your exam. Please review and complete any necessary preparations indicated for your applicable test experience.
This document provides guidelines regarding the use of the Trace Reporting and Compliance Engine and TRACE trademarks. Any use of these trademarks must be in accordance with these guidelines.
As previously announced, on Monday, January 22, 2018, FINRA will implement changes to the TRACE for Treasuries (U.S. Treasuries) trade reporting retention period to increase the transactions retention period to T-2. Starting January 22, firms will be able to perform TRACE for Treasuries trade cancellations and corrections on transactions during the T-2 retention period.
FINRA will make the U.S.
There are three ways to register: online, fax, or mail.
