The Series 79 exam — the Investment Banking Representative Exam — assesses the competency of an entry-level registered representative to perform their job as an investment banking representative.
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.
The Series 22 exam — the Direct Participation Programs Limited Representative Exam (DR) — assesses the competency of an entry-level registered representative to perform their job as a direct participation programs representative.
The Series 6 exam — the Investment Company and Variable Contracts Products Representative Qualification Examination (IR) — assesses the competency of an entry-level representative to perform their job as an investment company and variable contracts products representative.The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an
The Series 57 exam — the Securities Trader Representative Exam — assesses the competency of an entry-level registered representative to perform their job as a securities trader representative.
As part of its Transparency Services improvement initiative, beginning Monday, October 21, 2024, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system. FINRA will sponsor a fourth production User Acceptance Test (UAT) on Saturday, September 7, 2024, from 9 a.m. to 12 p.m. ET. TRACE clients are strongly encouraged to participate in
Dispute Resolution Services invites you to take advantage of significantly reduced mediation prices during FINRA Mediation Settlement Month. To participate in this program, Parties must have entered into a mediation agreement by October 31, 2024, and conducted the mediation by December 31, 2024.The SavingsFINRA participating mediators will offer the following rates for mediation sessions
The SEC requires that broker-dealers create and maintain certain records so that, among other things, the SEC, self-regulatory organizations ("SROs") and state securities regulators may conduct effective examinations of broker-dealers.
In relationship investment scams, fraudsters often hide their true identities, reach out to unsuspecting targets (often online or through text messages), gain their trust over time, and then defraud them through fake investments. These scams are sometimes referred to by terms including romance scams, “cryptocurrency” investment scams, financial grooming scams, and “pig butchering scams.” Learn more about these scams and red flags to watch for.
(a) When and How Transactions are ReportedEach member that is a Party to a Transaction in a TRACE-Eligible Security must report the transaction. A member must report a transaction in a TRACE-Eligible Security as soon as practicable, but no later than within one minute of the Time of Execution, except as otherwise specifically provided below. Transactions not reported within the specified
