A spinoff occurs when a corporation divests itself of a division, which becomes an independent company that trades separately from its parent. Learn why corporations spin off subsidiaries and what this means for investors.
Do you own bonds or have money invested in a bond fund? If so, now is a good time to brush up on two factors that can affect bond prices and fund returns: interest rate changes and a bond's duration.
The Dispute Resolution Portal (DR Portal) is a self-service system that allows participants in an arbitration or a mediation to log into a secure area of our website so they can submit documents and manage case information.
Use the Certification Representative (CRep) Designation Request to designate or replace a Certification Representative for your organization to complete the Entitlement User Accounts Certification Process.This request has specific instructions and signature requirements which must be met for processing.Electronic Submission via DocuSignThis request must be completed electronically. The link below
Strengthen your cybersecurity knowledge and learn how to protect sensitive information. Explore common threats, controls and best practices to mitigate cyber risks.
These documents provide a formatted version and explanatory text for firms to follow in building batch forms and retrieve reports.
In order to perform system maintenance for TRACE Securitized Products and TRACE Corporate and Agency, the FINRA Test Facility (NTF) will be unavailable for Securitized Product and Corporate and Agency testing for the balance of the day on Thursday, October 10, 2024. This affects TRACE SP and CA FIX connections and TRAQS only. No other product in NTF is impacted by this. Production
Public GovernorChief Executive Officer, FusionIQGovernor Since 2020Committees: Compensation & Human Capital Committee (Chair), Conflicts Committee (Chair), Executive Committee (Chair), Finance, Operations & Technology Committee, Nominating & Governance Committee, Regulatory Oversight Committee, Regulatory Policy Committee (ex officio)Professional
Transparency Services Legal Agreements
