The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is highlighting recent updates to the National Institute of Standards and Technology (NIST) Cybersecurity Framework (CSF) 2.0, which is a resource designed to help organizations manage and reduce cybersecurity risks, regardless of their degree of cybersecurity sophistication.
This data provides comprehensive information on Asset-Backed Securities. An Asset-Backed Security (ABS) offers returns based on the repayment of debt owed by a pool of consumers. Published for non-commerical use.
Fixed Income Data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P, Moody’s, and Black Knight Technologies. FINRA and its
Before investing in stocks, also referred to as equities, take time to gather the information necessary to make an informed investment decision, a process commonly known as due diligence.
Deferred variable annuities are hybrid investments containing securities and insurance features. Their sales are regulated both by FINRA and the Securities and Exchange Commission (SEC). These annuities offer investors choices among a number of complex contract features and options.
Due to the complexity and confusion surrounding them, which can lead to questionable sales practices, variable
Trading on securities exchanges and alternative trading systems (ATSs) has evolved to the point that these venues now execute electronically the vast majority of their volume. This increased automation of trading and the popularity of sponsored or direct access arrangements where broker-dealers allow customers to trade in those markets using the broker-dealers' market participant identifiers
Representatives who leave their firms often contact former customers and emphasize the benefits the former customers would experience by transferring their assets to the firm that recruited the registered representative (recruiting firm) and maintaining their relationship with the representative.
In this situation, the former customer's confidence in and prior experience with the
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Effective November 13, 1995, tier sizes for 900 Nasdaq National Market® securities will be revised in accordance with paragraph 245 Ia7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM).
Under the SOES Rules, the maximum SOES order size for a
FINRA’s Maintaining Qualifications Program (MQP) allows eligible individuals to maintain their qualifications for up to five years by completing CE annually.
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At FINRA, our mission is to protect investors and promote market integrity. Our employees are passionate about this commitment, and it's one of the strongest ties that connect our current and former
This data provides comprehensive information on individual transactions in Treasury on-the-run nominal coupons on an end-of-day basis for Treasury securities that traded within the past 10 years starting March 25, 2024. Learn more about Treasury securities and other bond types.Fixed Income Data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P
