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
When you retire, you leave behind many things—the daily grind, commuting, maybe your old home—but one thing you keep is a tax bill. In fact, income taxes can be your single largest expense in retirement.
SummaryEffective May 22, 2024, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $8.00 per million dollars in transactions to a new rate of $27.80 per million dollars in transactions.Finance-related questions should be directed to:Amanda Rath, Manager, Finance, at (240) 386-6637 or by
Currently, FINRA API users wishing to get access for TRACE, ADF, ORF, and TRF Reference Data are required to download a digital certificate and present verified user id and password credentials to access the API. As part of its Transparency Services improvement initiatives, FINRA is introducing a new method for users to gain secure access to the API.FINRA will replace digital certificates with
In general, a member firm’s office or location is either registered as a branch office, if it meets the definitions contained in Rule 3110(f), or exempt from branch office registration (i.e., an unregistered office or non-branch location), if it fits within an express exclusion from the branch office definition listed in Rule 3110(f)(2)(A)(i)–(vii) or is designated as a residential supervisory
Within the following videos, several members of FINRA’s advisory and regional committees, the National Adjudicatory Council (NAC) and the FINRA Board of Governors share their experiences serving on FINRA committees—including an overview of FINRA committee engagement, the benefits of participation and recommendations for how to get involved.What Are FINRA Committees?Members of FINRA’s various
