FINRA’s Maintaining Qualifications Program (MQP) is currently open for eligible individuals during a second enrollment period, until December 31, 2023.
The second enrollment period is available to those who terminated their registration between March 15, 2020, and March 14, 2022.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary supplementary material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023) under FINRA Rule 3110 (Supervision) to include calendar year 2024.
Asset Backed Securities data is currently unavailable. Asset Backed Securities data will be posted as soon as the issue is resolved.
Firms that pursue public cloud technologies generally can pursue three different models depending on their needs: Infrastructure as a Service (IaaS), Platform as a Service (PaaS) and Software as a Service (SaaS). Each type entails a different level of service provided by the cloud service provider:16
Infrastructure as a Service (IaaS): IaaS refers to a self-service model for accessing basic IT
This data provides trade activity for up to 10 years for collateralized mortgage obligations (CMO) quanties under 1 million. A CMO is a type of mortgage-backed security in which mortgages are bundled together and sold as one investment. Access up to three years real-time trade history and seven years end-of-day trade history per individual security. Weekly and monthly reports for CMO quantities
To increase the parties' input into selecting replacement arbitrators, FINRA allows parties to agree to review a "short list" of potential arbitrators to find a replacement. FINRA will notify parties by letter of the option to stipulate to the use of a short list to select a replacement arbitrator. Parties are free to use a short list by mutual agreement at all stages of the
Firms must register any person engaged in the securities business of the firm by filing the appropriate registration application online through the Central Registration Depository (CRD) Program to become registered with FINRA, the appropriate jurisdictions and/or self-regulatory organizations.
Optional Form U4 E-Signature and CE Notification Features 
