The Series 7 exam — the General Securities Representative Qualification Examination (GS) — assesses the competency of an entry-level registered representative to perform their job as a general securities representative.
FINRA regulates a critical part of the securities industry – member brokerage firms doing business in the U.S. In an effort to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals, FINRA shares an annual snapshot of some of the data collected in the course of its work.
I have been managing my own investments, and trading leveraged and inverse funds for many, many years. "I", not regulators, should be allowed to invest in the products of my choice. I worked as a CPA for many, many years and consider myself to be well informed regarding leveraged and inverse funds. I am not trading on margin. I am using my own hard earned money for trading. Regulators
Summary
FINRA requests comment on a proposal to provide additional transparency into delayed Treasury spot trades in corporate debt securities—i.e., corporate bond trades where the dollar price of the trade is based on a spread to a benchmark U.S. Treasury security that was agreed upon at an earlier time on the same day. The proposed changes would provide for immediate transparency into the size
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change: (1) to adopt NASD IM-6230, providing for exemptive relief from various reporting requirements for transactions in TRACE-eligible securities executed in connection with the termination or settlement of a credit default swap ("CDS") or a similar instrument; and (2
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Senior ManagementCorporate FinanceInternal AuditLegal & ComplianceResearchSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
The National Association of Securities Dealers, Inc., the New York Stock Exchange, Inc., and a committee of the Securities Industry Association have developed a joint memorandum that
FINRA has updated the FAQ on the Eligibility Proceedings for Firms Participating in the MCDC Initiative.
Technology is at a point where reporting times such as the current T+2 settlement is unnecessary and is being unfairly used as a tool for hedge funds and other entities to have leverage over retail investors. This can and should be transitioned to a T+0 settlement period. This modern world can transmit and receive data almost instantaneously and we should use this to help give the average
Borrowing against your home to invest is always risky, and the potentially high value of these loans can make home equity a prime target for scammers. FINRA has seen an increase in reporting of fraudulent schemes involving home loans taken out for investment purposes. Here are some things to know.
Beginning Monday, February 2, 2015, LavaFlow (MPID: FLOW) will no longer be an active participant on the FINRA Alternative Display Facility (ADF).
